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Full text of "North Carolina Register v.10 no. 7 (7/3/1995)"

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NORTH CAROLINA 

REGISTER 



VOLUME 10 • ISSUE 7 • Pages 427 - 638 

July 3, 1995 



IN THIS ISSUE 

Executive Orders 

Acupuncture Licensing Board 

Agriculture 

Community Colleges 

Environment, Health, and Natural Resources 

Human Resources 

Justice 

Public Education 

State Personnel 

Tax Review Board 

RRC Objections 

Contested Case Decisions 



PUBLISHED BY 

The Office of Administrative Hearings 
Rules Division 
PO Drawer 27447 
Raleigh, NC 27611- 744 7 
Telephone (919) 733-2678 
Fax (919) 733-3462 



r. .. ; 






JUL 6 1995 

LAW LIS: tARY 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 

The North Carolina Register is published twice a month and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
General Statutes. All proposed administrative rules and notices of 
public hearings filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically comprise approximately 
fifty pages per issue of legal text. 

State law requires that a copy of each issue be provided free of 
charge to each count}' in the state and to various state officials and 
institutions. 

The North Carolina Register is available by yearly subscription 
at a cost of one hundred and twenty dollars ($120.00) for 24 
issues Individual issues may be purchased for ten dollars 
($10.00). 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings, PO Drawer 
27447, Raleigh, NC 27611-7447. 

ADOPTION, AMENDMENT, AND REPEAL OF RULES 

The following is a generalized statement of the procedures to be 
followed for an agency to adopt, amend, or repeal a rule. For the 
specific statutory authority', please consult Article 2A of Chapter 
150B of the General Statutes. 

Any agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public may 
request a hearing); a statement of procedure for public comments: 
the text of the proposed rule or the statement of subject matter; the 
reason for the proposed action; a reference to the statutory 
authority for the action and the proposed effective date. 

Unless a specific statute provides otherwise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the public 
hearing and at least 30 days must elapse before the agency can take 
action on the proposed rule. An agency may not adopt a rule that 
differs substantially from the proposed form published as part of 
the public notice, until the adopted version has been published in 
the North Carolina Register for an additional 30 day comment 
period. 

When final action is taken, the promulgating agency must file the 
rule with the Rules Review Commission (RRC). After approval 
by RRC. the adopted rule is filed with the Office of Administrative 
Hearings (OAH). 

A rule or amended rule generally becomes effective 5 business 
days after the rule is filed with the Office of Administrative 
Hearings for publication in the North Carolina Administrative 
Code (NCAC). 

Proposed action on rules may he withdrawn by the promulgating 



agency at any time before final action is taken by the agency or 
before filing with OAH for publication in the NCAC. 

TEMPORARY RULES 

Under certain emergency conditions, agencies may issue 
temporary rules. Within 24 hours of submission to OAH, the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions 
in G.S. 150B-21.1. If the Codifier determines that the findings 
meet the criteria in G.S. 150B-21.1. the rule is entered into the 
NCAC. If the Codifier determines that the findings do not meet 
the criteria, the rule is returned to the agency. The agency may 
supplement its findings and resubmit the temporary rule for an 
additional review or the agency may respond that it will remain 
with its initial position. The Codifier, thereafter, will enter the 
rule into the NCAC. A temporary rule becomes effective either 
when the Codifier of Rules enters the rule in the Code or on the 
sixth business day after the agency resubmits the ruie without 
change. The temporar} rule is in effect for the period specified in 
the rule or 180 days, whichever is less. An agency adopting a 
temporary rule must begin rule-making procedures on the 
permanent rule at the same time the temporary rule is filed with 
the Codifier. 

NORTH CAROLINA ADMINISTRATIVE CODE 

The North Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and 40 occupational licensing boards. Compilation and 
publication of the NCAC is mandated by G.S. 150B-21.18. 

The Code is divided into Titles and Chapters. Each state agency 
is assigned a separate title which is further broken down by 
chapters. Title 21 is designated for occupational licensing boards. 
The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents ($2.50) for 10 pages or less, 
plus fifteen cents ($0.15) per each additional page. 
Requests for pages of rules or volumes of the NCAC 
should be directed to the Office of Administrative 
Hearings. 

(2) The full publication and supplement service is printed 
and distributed by Barclays Law Publishers. It is 
available in hardcopy, CD-ROM and diskette format. 
For subscription information, call 1-800-888-3600. 

CITATION TO THE NORTH CAROLINA REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date. 10:01 NCR 1-67, April 3, 1995 refers to 
Volume 10, Issue 1, pages 1 through 67 of the North Carolina 
Register issued on April 3, 1995. 



FOR INFORMATION CONTACT: Office of Administrative Hearings, ATTN: 
NC 27611-7447, (919) 733-2678, FAX (919) 733-3462. 



Rules Division, PO Drawer 27447, Raleigh, 



NORTH CAROLINA 



IN THIS ISSUE 




I. EXECUTIVE ORDERS 

Executive Orders 79-80 



II. IN ADDITION 

Tax Review Board 



Volume 1 O, Issue 7 
Pages 427 - 638 



July 3, 1995 



This issue contains documents officially 
filed through June 19, 1995. 



Office of Administrative Hearings 

Rules Division 

424 North Blount Street (27601) 

PO Drawer 27447 

Raleigh, NC 27611-7447 

(919) 733-2678 

FAX (919) 733-3462 



Julian Mann III, Director 

James R. Scarcella Sr., Deputy Director 

Molly Masich, Director of APA Services 

Ruby Creech, Publications Coordinator 

Teresa Kilpatrick, Editorial Assistant 

Jean Shirley, Editorial Assistant 



427 



428 - 429 



III. PROPOSED RULES 
Agriculture 

Structural Pest Control Division 430 

Community Colleges 

Community Colleges, Board of 587 - 588 

Environment, Health, and Natural Resources 

Health Services 582-584 

Sedimentation Control 579 - 582 

Human Resources 

Mental Health, Developmental Disabilities and 

Substance Abuse Services 430 - 573 

Justice 

Criminal Information 573 - 575 

Private Protective Services 575 - 579 

Licensing Board 

Acupuncture Licensing Board 585 - 587 

Public Education 

Elementary and Secondary 584 - 585 

State Personnel 

State Personnel Commission 588 - 605 

IV. RRC OBJECTIONS 606-608 

V. CONTESTED CASE DECISIONS 

Index to ALJ Decisions 609 - 618 

Text of Selected Decisions 

94 DOA 1565 619-626 

95 DOJ 0101 627-629 

VI. CUMULATIVE INDEX 631 - 638 



NORTH CAROLINA REGISTER 

Publication Schedule 

(November 1994 - September 1995) 



Volume 
and 
Issue 

Number 


Issue 
Date 


Last Day 
for Fil- 
ing 


Last Day 
for Elec- 
tronic 
Filing 


Earliest 

Date for 

Public 

Hearing 

75 days 

from 

notice 


* End of 

Required 

Comment 

Penod 

30 days 

from 

nonce 


Last Day 

to Submit 

to RRC 


** Earliest 

Effective 

Date 


9:15 


11/01/94 


10/11/94 


10/18/94 


11/16/94 


12/01/94 


12/20/94 


02/01/95 


9:16 


11/15/94 


10/24/94 


10/31/94 


11/30/94 


12/15/94 


12/20/94 


02/01/95 


9:17 


12/01/94 


11/07/94 


11/15/94 


12/16/94 


01/03/95 


01/20/95 


03/01/95 


9:18 


12/15/94 


11/22/94 


12/01/94 


12/30/94 


01/17/95 


01/20/95 


03/01/95 


9:19 


01/03/95 


12/08/94 


12/15/94 


01/18/95 


02/02/95 


02/20/95 


04/01/95 


9:20 


01/17/95 


12/21/94 


12/30/94 


02/01/95 


02/16/95 


02/20/95 


04/01/95 


9:21 


02/01/95 


01/10/95 


01/18/95 


02/16/95 


03/03/95 


03/20/95 


05/01/95 


9:22 


02/15/95 


01/25/95 


02/01/95 


03/02/95 


03/17/95 


03/20/95 


05/01/95 


9:23 


03/01/95 


02/08/95 


02/15/95 


03/16/95 


03/31/95 


04/20/95 


06/01/95 


9:24 


03/15/95 


02/22/95 


03/01/95 


03/30/95 


04/17/95 


04/20/95 


06/01/95 


10:1 


04/03/95 


03/13/95 


03/20/95 


04/18/95 


05/03/95 


05/22/95 


07/01/95 


10:2 


04/17/95 


03/24/95 


03/31/95 


05/02/95 


05/17/95 


05/22/95 


07/01/95 


10:3 


05/01/95 


04/07/95 


04/17/95 


05/16/95 


05/31/95 


06/20/95 


08/01/95 


10:4 


05/15/95 


04/24/95 


05/01/95 


05/30/95 


06/14/95 


06/20/95 


08/01/95 


10:5 


06/01/95 


05/10/95 


05/17/95 


06/16/95 


07/03/95 


07/20/95 


09/01/95 


10:6 


06/15/95 


05/24/95 


06/01/95 


06/30/95 


07/17/95 


07/20/95 


09/01/95 


10:7 


07/03/95 


06/12/95 


06/19/95 


07/18/95 


08/02/95 


08/21/95 


10/01/95 


10:8 


07/14/95 


06/22/95 


06/29/95 


07/31/95 


08/14/95 


08/21/95 


10/01/95 


10:9 


08/01/95 


07/11/95 


07/18/95 


08/16/95 


08/31/95 


09/20/95 


11/01/95 


10:10 


08/15/95 


07/25/95 


08/01/95 


08/30/95 


09/14/95 


09/20/95 


11/01/95 


10:11 


09/01/95 


08/11/95 


08/18/95 


09/18/95 


10/02/95 


10/20/95 


12/01/95 


10:12 


09/15/95 


08/24/95 


08/31/95 


10/02/95 


10/16/95 


10/20/95 


12/01/95 



This table is published as a public service, and the computation of time periods are not to be deemed binding 
or controlling. Tune is computed according to 26 NCAC 2B .0103 and the Rules of Civil Procedure, Rule 6. 

* An agency must accept comments for at least 30 days after the proposed text is published or until the date 

of any public hearing, whichever is longer. See G.S. 150B-21. 2(f) for adoption procedures. 

** The "Earliest Effective Date" is computed assuming that the agency follows the publication schedule above, 

that the Rules Review Commission approves the rule at the next calendar month meeting after submission, and 

that RRC delivers the rule to the Codifier of Rules five (5) business days before the 1st day of the next calendar 

month. 



Revised 10/94 



EXECUTIVE ORDERS 



EXECUTIVE ORDER NO. 79 
RESCINDING THE CENTER FOR THE 
PREVENTION OF SCHOOL VIOLENCE 

By the power vested in me as Governor by the Constitu- 
tion and laws of North Carolina, IT IS ORDERED: 

Executive Order No. 19, signed June 30, 1993, is hereby 
rescinded. The Center for the Prevention of School Vio- 
lence created by that Order is hereby transferred to the 
Board of Governors of the University of North Carolina. 

This Order is effective immediately. 

Done in Raleigh, North Carolina, this the 7th day of June, 
1995. 

EXECUTIVE ORDER NO. 80 

AMENDING THE NORTH CAROLINA 

ALLIANCE FOR COMPETITIVE 

TECHNOLOGIES (TMCACTS) 

By the authority vested in me as Governor by the Consti- 
tution and laws of North Carolina, IT IS ORDERED: 

Section 5 of Executive Order 63 is hereby amended to 
read: 

Section 5^ Board of Directors . 

A. The Alliance shall have a Board of Directors of 22 
persons appointed by the Governor from among the public 
and private sectors with a majority of members being from 
the private sector. The Speaker of the North Carolina 
House of Representatives and the President Pro Tempore of 
the North Carolina Senate are requested to nominate two 
members each, one of each party, to serve terms concurrent 
with their terms of office. The Governor shall appoint then 
nominees. Six directors shall be appointed from educational 
institutions, government, and non-profit institutions. Twelve 
directors shall be appointed from private sector industry and 
technology fields, including but not limited to, 
pharmaceuticals and chemicals, environmental resources. 



food processing, furniture, information technologies, metals, 
paper, polymers, textiles, transportation and wood products. 
All initial directors, except the Chair and legislative direc- 
tors, shall serve a one-year term and until their successors 
are appointed. Thereafter, terms shall be staggered. One 
third of the directors shall have one-year terms; one third, 
two-year terms: and one third, three-year terms. Directors 
appointed or reappointed thereafter shall serve three-year 
terms. 

B. The Governor shall appoint the Chair of the Board of 
Directors to serve an initial three-year term. 

C. Responsibilities of the Board of Directors shall be 
advisory in nature to the Governor and the General Assem- 
bly, Their duties shall include: 

Approval of policies, regulations, and by-laws 
that are necessary to form and operate the 
organization; 

Oversight of the policies and plans of the Alli- 
ance, including the strategic plan, studies of 
needs, gaps in service delivery, and performance 
standards: 

Implementation of procedures to insure coopera- 
tion with other parts of State government; 

Adoption of a proposal for staffing the Alliance; 

Approval of an operating plan for the Alliance: 
and 



l. 



6. Identification of other activities and priorities 

that should be undertaken by the Alliance. 

This Order shall be effective immediately. 

Done in Raleigh, North Carolina, this the 13th day of 
June, 1995. 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



427 



IN ADDITION 



STATE OF NORTH CAROLINA 



COUNTY OF WAKE 



BEFORE THE 
TAX REVIEW BOARD 



IN THE MATTER OF: 

The Proposed Assessment of additional sales and use 
tax for the period of November 1, 1989 through 
December 31, 1992 
assessed against Culp, Inc. 



ADMINISTRATIVE 
DECISION NUMBER: 299 



THIS MATTER was heard before the Tax Review Board on April 11. 1995 in the City of Raleigh, Wake County, 
North Carolina It involves an appeal by Culp, Inc.. (hereinafter "Petitioner") from the Final Decision of Michael A. 
Hannah. Assistant Secretary for Legal and Administrative Hearings (hereinafter "Assistant Secretary") entered on August 
1 1, 1994 sustaining a proposed assessment of sales and use tax for the period of November 1, 1989 through December 31. 
1992. 

Chairman Harlan E. Boyles presided over the bearing with Hugh Wells, Chairman Utilities Commission and duly 
appointed member, Jeff D. Batts, Attorney at Law participating. 

Joseph D. Joyner, Jr. and Martin H. Brinkley, Attorneys at Law. appeared on behalf of the Petitioner; Marilyn R. 
Mudge. Assistant Attorney General, appeared on behalf of the Department of Revenue. 

FINDINGS OF FACT 

THE TAX REVIEW BOARD, having reviewed the Petition, supporting brief and record filed in this matter, makes 
the following Findings of Fact: 

1 . The Petitioner is a fully integrated manufacturer and marketer of fabrics for the furniture, bedding and 
institutional furnishings industries. 

2. In the manufacturing process, a pattern and color are printed onto highly specialized greige paper. 

3. The Petitioner prints upholstery fabrics and mattress tickings by passing the printed (greige) paper and the 
base cloth through a rotary screen heat transfer printing machine that unites the paper and cloth. 

4. The greige paper can be used only once in this process and must be discarded after use. 

CONCLUSIONS OF LAW 

Based upon the record, the Petition and supporting brief and the foregoing findings of fact, the Tax Review Board 
concludes as a matter of law: 

1. Sales of mill machinery, mill machinery parts and accessories to manufacturing industries and plants for 
industrial processing are subject to a one percent (1%) use tax in North Carolina under G.S. § 105-164. 4(a)(ld)b. 

2. An exemption from the sales or use tax is allowed under G.S. § 105-164.13(8) for "sales of tangible 
personal property to a manufacturer which enters into or becomes an ingredient or component part of tangible personal 
property which is manufactured." 

3. The Assistant Secretary erred in ruling that the greige paper does not meet the exemption provided under 
G.S. § 105-164.13(8). The greige paper qualifies for the exemption under this statutory provision because the Board 



428 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



IN ADDITION 



concludes that the paper is deemed to "enter into" the manufactured fabric based upon the following unique facts presented 
in the record: (1). the greige paper can only be used once in the heat transfer printing process; (2). the greige paper comes 
into direct, face-to-face contact with the fabric; (3). the greige paper has a one-to-one relationship with the fabric; (4). the 
greige paper is indispensable in the heat transfer printing process. 

4. The Sales and Use Tax Administrative Rule, cited as 17 N.C.A.C. 07B .0705(j), provides that "sales to 

manufacturers of fabric conditioners and other chemicals which actually enter into manufactured products at some step 
between the initial and final steps in the manufacturing process are exempt from tax." The Board further concludes that the 
greige paper falls within the category of products exempt pursuant to this Rule. 

DECISION 

IT APPEARING TO THE BOARD, that the greige paper purchased by the Petitioner and used in its manufacturing 
process qualifies for exemption from sales or use tax imposed under G.S. § 105-164. 4(a). 

IT IS THEREFORE ORDERED, that the Final Decision of the Assistant Secretary is REVERSED. 



Entered this the 9th day of June, 1995. 



TAX REVffiW BOARD 



Harlan E. Boyles, Chairman 
State Treasurer 



Hugh Wells 

Chairman of the Utilities Commission 



Jeff D. Batts, Appointed Member 



10:7 NORTH CAROLINA REGISTER July 3, 1995 429 



PROPOSED RULES 



TITLE 2 - DEPARTMENT OF AGRICULTURE 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Structural Pest 
Control Committee intends to amend rule cited as 2 NCAC 
34 .0904. 

Temporary: This Rule was filed as a temporary rule 
effective July 10, 1995 for a period of 120 days or until the 
permanent rule becomes effective, whichever is sooner. 

Proposed Effective Date: November 1, 1995. 

A Public Hearing will be conducted at 10:00 a.m. on 
August 29, 1995 at the Board Room, (Room 359), Agricul- 
ture Building, 2 W. Edenton St. , Raleigh, NC 27601. 



Reason for Proposed Action: 

unregistered pesticides. 



To prohibit the use of 



Comment Procedures: Interested persons may present their 
views either orally or in writing at the hearing or prior to 
the hearing by mail, addressed to the Chairman of the North 
Carolina Structural Pest Control Committee, P.O. Box 
27647, Raleigh, NC 27611. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of local government or state fimds. 

CHAPTER 34 -STRUCTURAL PEST CONTROL 
DIVISION 

SECTION .0900 - DUTIES AND 
RESPONSIBILITIES OF LICENSEE 

,0904 PROHIBITED ACTS 

(a) No reference shall be made by any certified applica- 
tor, licensee, business establishment or business entity in 
any form of advertising that would indicate approval, 
endorsement or recommendation by the committee, or by 
any agency of the federal government or North Carolina 
State, county, or city government. 

(b) The use of a structural pest control license(s), certi- 
fied applicator's identification card(s), registered techni- 
cian's identification card(s) or licensee identification card(s) 
for any purpose other than identification is prohibited. 

(c) In solicitation of structural pest control business, no 
licensee or his employees shall claim that inspections or 
treatments are required, authorized, or endorsed by any 
agency of the federal government or North Carolina State, 
county, or city government unless said agency states that an 
inspection and/or treatment is required for a specific 
structure. 

(d) No licensee shall advertise, in any way or manner, as 
a contractor for structural pest control services, in any 
phase(s) of work for which he does not hold a valid li- 
cense^) as provided for under G.S. 106-65. 25(a), unless 



said licensee shall hold a valid certified applicator's identifi- 
cation card or registered technician's identification card, as 
provided for under G.S. 106-65.31, as an employee of a 
person who does hold a valid state license(s) covering 
phases of structural pest control work advertised. 

(e) The impersonation of any North Carolina State, 
county, or city inspector or any other governmental official 
is prohibited. 

(f) No licensee, certified applicator or registered techni- 
cian's identification card holder shall advertise or hold 
himself out in any manner in connection with the practice of 
structural pest control as an entomologist, plant pathologist, 
horticulturist, public health engineer, sanitarian, and the 
like, unless such person shall be qualified in such field(s) by 
required professional and educational standards for the title 
used. 

(g) No certified applicator, licensee or his employees 
shall represent to any property owner or his authorized 
agent or occupant of any structure that any specific pest is 
infesting said property, structure, or surrounding areas 
thereof, unless strongly supporting visible evidence of such 
infestation exists. 

(h) No certified applicator or licensee or their employees 
shall authorize, direct, assist, or aid in the publication, 
advertisement, distribution, or circulation of any material by 
false statement or representation concerning the licensee's 
structural pest control business or business of the company 
with which he is employed. 

(i) No certified applicator or licensee or their employees 
shall advertise or contract in a company name style contra- 
dictory to that shown on the certified applicator's identifica- 
tion card or license certificate. 

(j) No certified applicator shall use any name style on his 
certified applicator's identification which contains the words 
"exterminating", "pest control" or any other words which 
imply that he provides pest control services for a valuable 
consideration unless he is a licensee or a duly authorized 
agent or employee of a licensee. 

(k) No licensee issued an inactive license shall engage in 
any phase of structural pest control. 

[1] No certified applicator or licensee or their employees 
shall apply any substance containing a boron compound 
within a structure unless it is an EPA registered pesticide. 

Statutory Authority G.S. 106-65.29. 



TITLE 10 - DEPARTMENT OF 
HUMAN RESOURCES 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the Director of the Division of Mental 
Health, Developmental Disabilities and Substance Abuse 
Services; and the Commission for Mental Health, Develop- 
mental Disabilities and Substance Abuse Services intends to 
adopt rules cited as 10 NCAC 14V .0101 -.0104, .0201- 
.0208, .0301 -.0304, .0401 -.0405. .0501 -.0505, .0601- 



430 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



.0604, .0701-.0712, .0801-.0805, .1101-.1W3, 1201- 
.1203, .1301-. 1303, .1401-. 1403, 1501-1504, .2101 -.2104, 
.2201-.2204, .2301-. 2306, .2401 -.2404, .2501 -.2505, 
.3101-.3103, .3201-. 3203, .3301-. 3303, .3401-.3403, 
.3501-. 3503, .3601-. 3604, .3701-. 3703, .3801 -.3803, 
.3901-. 3903, .4001 -.4003, .4101 -.4104, ,5001 -.5002, 
.5101-.5104, .5201-.5204, 5301-.5303, .5401-. 5403, 
.5501-.5503, .5601-.5603, .5701 -.5703, .5801 -.5804, 
.5901-.5903, 6001-.6003, .6101-. 6103, .6201-. 6202, 

6301-.6303, .6401:6403, .6501-.6503, .6601 -.6603, 6701- 
.6702, .6801-.6802, .6901 -.6903 and repeal 10 NCAC 14B 
.0501-.0503, .0505-.0509; 14K .0101-.0103, .0201-.0219, 
.0301 -.03 10, .0312-.0315, .03 17-. 0324, .0326-. 0329, 
.0333-.0348, .0350-.0365, .0401-.0408; 14L .0101-.0106, 
.0201 -.0203, .0301-.0308, .0310, .0401 -.0407, .0601- 
.0606. .0609, .0611-.0615, .0701 -.0709, .0711 -.07 12; 14M 
.0101-.0113, .0501-.0511, .0601-.0602, .0604 .0606, 
.0608-.0612, .0614-.0615, .0617-.0621, 0701-.0716; 14N 
.0101 -.0107, .0201-.0207, .0301 -.0307, .0401 -.0406. 

0501-.0507, .0701, .0703-.0705, .0801-.0811; 140 .0301- 
.0314, .0401:0409, .04U-.0416, .0501-.0505, .0601- 
.0609. .0611-.0615, .0617-.0618, .0701 -.0710; 18A .0124- 
.0128, .0130, .0132-.0133, .0135-.0136; 181 .01 14-.0120; 
18J .0110-.0119, .0212-.0213, .0304-.0311, .0601-.0604, 
.0701-.0715, .0801-.0805; 18K .01 09-. 01 16; 18L .0107- 
.0108, .0223-.0224, .0331 -.0336, .0338-.0339, .0428- 
.0434, .0504, .0511, .0513, .0701-.0705, .0707, .0801, 
.0803-.0809, .0901-.0904, .1001-. 1006, .1101-. 1103. 
.1105-.1107, .1201, .1203-.1206, .1301-. 1309. .1401- 
.1403, 1501-.1525; I8M .0107-.01 10, .0206-.0213, .0304- 
.0307, .0406:0409, .0505-0506, .0607-. 0608, .0701, 
.0703-.0706, .0708-.0714, .0801 -.0803, .0817-.0819, 
.0824-.0838, .0901-0908, .1001-. 1009, .1101 -.1106, 
.1203-.1204, 1302-.1305, .1401-. 1403, .1405-. 1410; 18N 
.0105-.0110, 0204-.0212, .0305-.0306. 18P 0901-.0903, 
.1001-.1004; 18Q.0284, .0286-.0287, .0520-.0521, .0538- 
.0552. 

Proposed Effective Date: May 1 , 1996. 

A Public Hearing will be conducted at 10:00 a.m. on 
August 7, 1995 at the BrownEstone Hotel, 1707 
Hillsborough Street, Raleigh, NC 27605, (Phone: 919-828- 
0811). 

Reason for Proposed Action: To better clarify require- 
ments for facilities that provide services to individuals with 
mental illness, developmental disabilities , and substance 
abuse disorders; and collapse a large number of Rules into 
a more organized manner. 



Written comments will be accepted through August 6, 1995, 
and must state the Rules to which the comments are ad- 
dressed. These comments should be sent to the above 
address. Please provide 35 copies of comments for distribu- 
tion at the hearing. Time limits for oral remarks may be 
imposed at the hearing. Fiscal information regarding these 
Rules is available from the Division upon request. 

Fiscal Note: These Rules affects the expenditure or distribu- 
tion of State funds subject to the Executive Budget Act, 
Article 1 of Chapter 143. 

CHAPTER 14 - MENTAL HEALTH: GENERAL 

SUBCHAPTER 14B - RULES OF PROCEDURE 

SECTION .0500 - WAIVER OF COMMISSION 
AND DIVISION DIRECTOR RULES 

.0501 PURPOSE, SCOPE AND DEFINrTIONS 

— (a) Purpos e . — Th e purpos e of the Ruloa in this S e ction is 
to specify the procedures for requesting and acting on 
requests for waiver of Rule s adopted by the Commission or 
th e Division Dir e ctor, e xo e pt for r e quests for waiver of 
lic e nsur e Rul e s adopt e d pursuant to G.S. 122C which are 
subject to review and action by the Division of Facility 
Services, in accordanc e with the provisions of 10 NCAC 
UK .0216. 

(b) — Scop e . — Th e s e Rul e s apply to any p e rson subj e ct to 
Rules of the Commission or the Division Director. 
— fe) — Definitions. 
(4^ "Commission" m e ans th e term as d e fin e d in 

G.S. 122C 3. 
f2-) "Division" means the term as defined in G.S. 

122C 3. 
(3-) "Division Dir e ctor" mean s th e Dir e ctor of th e 

Division — of M e ntal — H e alth, — Developm e ntal 

Disabilities and Sub s tance Abuse Services. 
{A) "Special — waiver request" — moons a proposed 

alt e rnativ e syst e m of policy and proc e dur e s to be 

us e d in place of specifi e d rul e s. 

Statutory Authority G.S. 122C-1 12(a)(8); 143B- 147 (a)(8). 

,0502 SUBMISSION OF REQUESTS FOR 
WAIVERS 

Requests for waivers shall bo sent to the Divi s ion Direc 
tor. Division of Mental H e alth. D e velopm e ntal Disabilities, 
and Substanc e Abus e Servio e o. 325 North Salisbury Str ee t. 
Raleigh. North Carolina 27603. 



Comment Procedures: Any interested person may present 
comments by oral presentation or submitting a written 
statement. Persons wishing to make oral presentations 
should contact Charlotte Tucker, Division of Mental Health , 
Developmental Disabilities and Substance Abuse Services, 
325 N. Salisbury Street, Raleigh, NC 27603, 919-733-4774. 



Statutory Authority G.S. 122C-1 12(a)(8); 143B-147(a)(8). 

.0503 CONTENTS OF WAIVER REQUESTS 

— Except a s provided in Rule .0508 of this Section, waiver 
r e qu e sts shall b e in writing and shall contain: 
( 1) th e name, address and tel e phon e numb e r of th e 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



431 



PROPOSED RULES 



-m- 



-&- 



p>crson making the request; 

the name, address and t e lephon e numb e r of th e 
facility, program. agcne> or other e ntity for which 
the waiver is requested; 



the rule number and title of am rule for which the 



waiver is requ e st e d; 
-44) a statem e nt of facts including: 



-w- 



the reason for the request; 

the nature and extent of the request; and 



-0» 

-4©} documentation that the health, saf e ty or w e lfar e 

of cli e nts will not be threat e n e d. 
the time frame for which the waiver is requested; 



4^4 



-m- 



4*4 



4^4 



authorization for th e waiver r e quest and th e dat e 

of such authorization if from: 
— a facility operated by an area program, area 

board authorization; 
— a contract agency (of ar e a programs) proof of 



Section; or 

fb) to th e tim e fram e r e qu e st e d by the Division 

Director if th e waiv e r is submitt e d in accordance 
with Rule .0508 of this Section. 

Statutory Authority G.S. 143B-147(a)(8). 



0506 WAIVERS REQUESTED BY COMMISSION 

— (a) Any member of the Commission may initiate a request 
for waiv e r of any rul e adopt e d pursuant to th e rul e making 
authority of th e Commi ss ion, or th e rul e making authority 
delegated to the Division Director by the Secretary — as 
described in this Section. 



(b) — In r e qu e sting a waiver und e r Paragraph (a) of this 
Rul e , and on b e half of on e or more ag e nci e s or servic e s, th e 
Commission member is subject to Subitems (2)(a) and (b) of 
Rule .0508 of thi s Section. 



recomm e ndation by ar e a board and proof of Statutory Authority G.S. 143B-147(a)(8). 
contract agency governing body approval; 



4*4 



4*9- 



a private facility, authorization by the governing 
body; and 
-the — Departm e nt — of Correction. — Division of 



Prisons, authorization by the Director of the 
Division of Prisons. 

Statutory Authority G.S. 122C-1 12(a)(8); 143B-147(a)(8). 

.0505 PROCEDURE FOR WAIVERS BY 
COMMISSION 



If any rul e for which waiver is r e q 



sted- 



idopt e d 



pursuant to the rule making authority of the Commission, 



the prooedi 



jt forth in this Rule shall be followed; 



44-) The p e rson requ e sting th e waiv e r shall be notifi e d 

r e garding th e time and plac e of the m ee ting at 
which the Commission will vote upon the waiver 
request. — At the discretion of the Chairman of the 
Commission, the p e rson requesting th e waiv e r and 
am — other int e r e st e d person may b e giv e n th e 
opportunity to speak regarding the waiver request. 

43-) Decisions regarding waiver requests shall be based 

upon, but not limited to. th e following: 

— fa) th e natur e and e xt e nt of the r e qu e st; and 

— (4) safeguards to ensure that the health, safet) or 

welfare of clients will not be threatened. 

444 



Th e Commission' s d e cision shall b e iss 



u e d 



writing by th e Chairman of th e Commi s sion and 
shall state: 
— the factual situation giving rise to th e waiver 



-W- 



■m- 



request; 

the d e cision that the waiv e r r e qu e st was grant e d. 



or granted subject to certain conditions: 

— fe-) the time frame, if the waiver is granted; and 

— (4) the r e ason, if th e waiv e r r e qu e st was d e ni e d. 

44) Th e waiver may b e grant e d: 

— (*) retroactively to the date of the authorization as 

described in Item (6) of Rule .0503 of thi s 



,0507 PROCEDURE FOR WAIVERS BY 
DIVISION DIRECTOR 

if the rule for which waiv e r is r e qu e st e d was adopted 
pursuant to the rule making authority delegated — to the 
Division Director by the Secretary, the procedures set forth 
in this Rul e shall b e follow e d: 

( 1) D e cisions r e garding waiv e r requ e sts shall b e bas e d 

upon, but not limited to, the criteria as referenced 
in Item (2) of Rule .0505 of this Section. 



434 



A d e cision regarding the waiver request s hall b e 
issu e d in writing bv th e Division Dir e ctor within 



60 days from the date of receipt o 
request and shall state: 



#-* 



e waiver 



4»4 



4^4 



th e factual situation giving ris e to th e waiv e r 
r e qu e st; 



-tr+e — rea s on s — w-hy — the — request — was — granted, 
granted subject to certain conditions, or denied; 

— (e) if grant e d, th e tim e frame for which th e waiv e r 

is granted. 

44) The waiver may be granted retroactively to the 

dat e of th e authorization of th e gov e rning body as 
d e scrib e d in It e m (6) of Rul e .0503 of thi s S e ction 
or to the time frame requested b\ the Divi s ion 
Director if the waiver is submitted in accordance 
with Rul e .0508 of this S e ction. 



Statutory Authority G.S. 122C-1 12(a)(8). 

.0508 WAIVERS REQUESTED BY DIVISION 
DIRECTOR 

— The Division Director: 

— (4) may grant a request for waiver of rules adopted 

pursuant to th e rul e making authority del e gat e d to 
him by th e S e cretary as described in thi s S e ction: 

— (4) may initiate a request for waiver of rules adopted 



432 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



pursuant — to tho rulo making — authority — of tho 
Commiooion as dooorib e d in this S e ction: 



-(5) Subchapter 140 — rules applicable to facilities 

se rving mor e than on e di s ability. 



-(a} oxoopt when r e questing a waiv e r on behalf of (o) — Wh e n a facility contract s with a p e rson for tho 



4H- 



one or more agencies or services, tho Division 
Director is exempt from tho provisions of Items 
(2) and (6) of Rul e .0503 of this S e ction; and 
instead, tho Division Director shall list tho typos 
of agoncios or services for which the waiver is 
requested. 



Statutory Authority G.S. 122C-1 12(a)(8). 

.0509 SPECIAL REQUESTS 

(a) Tho Commission or Division Dir e ctor may approv e 
one or more lists of oonditions under which an agency may 
make a special waivor request. 

— (b) — In addition to all Rules of this Section, any agency 
making a special request for waiver of sp e cifi e d rul e s shall: 



provision of services, or portions of a s ervice, the facility 
shall ensure that the contract services are provided in 
accordanc e with tho applicabl e rul e s in this Subchapt e r and 
with 10 NCAC HL. MM, HN, or HO d e p e nding upon tho 
typo of client population s erved. 

— (d) In casos whero no other specific licensure rules exist 
for those — mental — health. — m e ntal — r e tardation — and — oth e r 
d e v e lopm e ntal — disabiliti e s or substanc e abus e faciliti e s, 
found — m — divi s ion — publication — APSM — 100 1 , — "Service 
Definitions for Area Program Component s ", tho core rules 
contain e d in this Subchapt e r shall apply. — Th e s e r e f e r e nced 
rul e s — hav e — boon — a dopt e d — in — accordanc e — w+th — G.S. 
150B 1 4 (c). 



4+4 



address tho relevant list of oonditions: and 



Statutory Authority G.S. 
143B-147. 



122C-23; 122C-24; 122C-26: 



-f2-) obtain Division approval of the proposed altorna 

tive system of policy and procedures prior to 
action by oith e r th e Commission or Division 
Director. 



.0102 COPIES OF LICENSURE RULES 

— (*) — Th e Divi s ion of M e ntal H e alth. M e ntal R e tardation 
and — Sub s tanc e — Abuse — S e rvic e s — (DMH/MR/SAS) — s hall 
-fe) — Tho Commission or Division Director may grant or distribute a limited number of free copio s of licensure rules 



deny waivor of specified rulos upon receipt of an agency's 
special request submitt e d in accordanc e with th e rul e s of this 
S e ction. 

Statutory Authority G.S. 143B-1 47(a)(8). 

SUBCHAPTER 14K - CORE LICENSURE 

RULES FOR MENTAL HEALTH: MENTAL 

RETARDATION AND OTHER DEVELOPMENTAL 

DISABILITIES: AND SUBSTANCE ABUSE 

FACILITIES 

SECTION .0100 - GENERAL INFORMATION 

.0101 SCOPE 

— (a) Subchapters 1 4 K through 1 4 of this Chapter set forth 
licensure rulos for m e ntal h e alth, mental retardation and 
oth e r d e v e lopm e ntal disabiliti e s and substanc e abus e faoili 
ties^ — Und e r th e provisions of G.S. — 122C 23 and G.S. 
122C 2 4 , a facility shall comply with these Rulos. — Failure 
to comply with those Rules shall be grounds for the Depart 
m e nt to d e ny or r e vok e a lic e n se . 

— fb) — Th e Rul es ar e codifi e d in this Chapt e r as follows: 
(-B Subchapter 1 4 K core rules applicable to all 

typos of facilities licensed under the provisions 

of G.S. 122C, Articl e 2; 
(¥) Subchapt e r — 1-44= rul e s applicabl e to mental 

health facilities; 
(4) Subchapter — WM rule s applicable to mental 

r e tardation and oth e r d e v e lopmental disabiliti e s 

faciliti e s; 
(4) Subchapter 1 4 N — rules applicable to substance 

abu s e facilitie s : and 



contained in Subchapters 1 4 K through 1 4 of this Chapter 
to ar e a programs for area op e rat e d faciliti e s and for contract 
ag e noy faciliti e s. — (Additional copios may bo purchas e d from 
DMH/MR/SAS at a price to cover printing and postage.) 
— fb-) — Each area program shall di s tribute to each of its 
area operat e d and contract ag e noy faciliti e s a copy of th e se 
licensur e Rul e s. 

(o) Tho Divi s ion of Facility Services (DFS) s hall distrib 
uto a limited number of free copies of tho liconsuro Rules to 
private faciliti e s. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0103 DEFINITIONS 

— (a) This Rul e contain s tho d e finitions that apply to all the 
rule s in thi s Subchapter and Subchapters 1 4 L through 1 4 
of this Chapter. 
— fb) — In addition to tho d e finitions contain e d in this Rulo, 



th e t e rms d e fin e d in G.S. 122C 3 also apply to all th e rul e s 
in thi s Subchapter and Subchapters 1 4 L through 1 4 of this 
Chapter. 
(o) — Th e following t e rms shall hav e tho m e anings sp e oi 

—4+4 



434 



"Administering medication" means direct appli 

cation of a drug to the body of a client by 

injection. — inhalation, — ing es tion, or any oth e r 

m e an s . 

"Adolescent" means a minor from 13 through 17 



years of age. 

4^) "Adult" m e an s a p e rson 18 y e ars of ag e or old e r 

or a p e rson under 1 8 years of ag e who has b ee n 
married or who has been emancipated by a court 
of competent jurisdiction or i s a member of the 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



433 



PROPOSED RULES 



armed forces. 

-44} "Aftercar e " — moano thos e s e rvices provid e d to 

substanc e abuse cli e nts aft e r discharge from a 
service which facilitates the client's integration 
or reintegration into society. — Activities may 
include s e lf help groups, supportive work pro 
grams and staff follow up contacts and int e rv e n 
dons. 

-f£) "Alcohol abuse" means psychoactive substance 

abus e which is a r e sidual cat e gory for noting 
maladaptive patt e rns of psychoactiv e substanc e 
use that have never met the criteria for depend 
cnce for that particular class of substance. — The 
crit e ria for alcohol abus e delin e at e d in th e 19 8 7 
edition of DSM III R publish e d by the Am e rican 
Psychiatric Association, 1400 K Street. N.W.. 
Washington. — F4-& — 20005 — at — a cost — &f 
twenty nin e — dollars — and — ninety five — c e nts 
($29.95) — fof — the — soft — cover — e dition — and 
thirty nine dollars and ninety five cents ($39.95) 
for the hard cover edition, is incorporated by 
refer e nc e . — This incorporation by r e fer e nce do e s 
not include subs e qu e nt amendments and e ditions 
of the referenced material. 

-(6) "Alcohol — dependence" — means — psychoactive 

substance d e p e nd e nc e — which is a clust e r of 
cognitiv e behavioral, and physiologic symptoms 
that indicate that a person has impaired control 
of psychoactive substanc e use and continues use 
of the substanc e despit e advers e cons e qu e nc e s. 
Th e crit e ria for alcohol dep e nd e nc e d e lin e at e d in 
the 1987 edition of DSM III R published by the 
American — Psychiatric — Association, — 1 4 00 — K 
Stre e t, N.W., Washington, D.C. 20005 at a cost 
of twenty nin e dollars and nin e ty fiv e c e nts 



4^ 



($29.95) for th e 



»#h 



editi 



and 



thirty nine dollars and ninety five cents ($39.95) 
for the hard cover edition is incorporat e d by 
r e f e renc e . — This incorporation by r e ferenc e do e s 
not include subsequent amendments and editions 
of the r e ferenced material. 
"Applicant" m e ans any p e rson who int e nds to 
e stablish, maintain or op e rat e a lio e n s abl e faoil 
lty and who applies to the department for a 
license to operate a facility under the provisions 
of G.S. 122C, Articl e 2. 

-f&) "Approv e d s upport e d e mploym e nt conv e rsion 

plan" means a planned approach to changing the 
type of services delivered from ADAP facil 
ity bas e d to support e d e mploym e nt. — Approval 
of th e conv e rsion plan is th e r es pon s ibility of th e 
Regional Director of the Divi s ion and the Area 
Director or hi s designee if the facility is oper 
at e d by a contract agency of th e area program or 

oth e r — s e rvic e — provid e r. Th e Divi s ion — shall 

request appropriate personnel from the Division 
of Vocational Rehabilitation to participate in the 



review process. The request for approval of the 
support e d e mploym e nt conversion — plan shall 
includ e sp e cifio written information in th e fol 
lowing areas: 

(A} — number of clients to be moved into supported 

e mploym e nt plac e ments; 

(-B-) — typos of support e d e mploym e nt mod e ls to bo 

used; 

fG} — time frame for the conversion period; 

(-B-) — int e rim proposed facility staffing patt e rns and 

responsibilities; and 

(-E-) — propos e d budget for conversion plan. 

— ^9-) "Area program" — means a legally constituted 

public ag e ncy providing m e ntal h e alth, mental 
r e tardation and substanc e abuse services for a 
catchment area designated by the commission. 
For purposes of these Rules, the term "area 
program" m e ans th e same as "area authority" as 
d e fin e d in G.S. 122C 3. 

( 10) "Assessm e nt" means a procedure for determin 

ing the nature and extent of the problem for 
which th e individual is s e eking s e rvic e . 



-44-14- 



"Atypical developm e nt" in childr e n m e ans those 



from birth to 60 months of age who: 

-(-A-) — have autism; 



-4B-) — ar e diagnos e d hyp e ractiv e ; 

-f&) — hav e an attention d e ficit disord e r or oth e r 
behavioral disorders: or 

4-B4 — exhibit evidence of, or ar e at risk for, atypical 
patt e rns — el — b e havior — and — social emotional 
d e v e lopm e nt in on e or mor e of th e following 



areas 



-w- 



-m 



delays or abnormalities in achieving emo 
tional mil e ston e s; 
difficulti e s with: 



444- 



attachment and interactions with 



-m 



?nt ana interactions with par 
ents, other adults, peers, materials and 
obj e ct s : 
ability — te — communicate — e motional 



needs: 

(III) motor or sensory development; 

(IV) ability to tol e rat e frustration and con 

trol behavior; or 
(V) ability to inhibit aggression: 



-f4444- 



fearfulness. withdrawal, or other distress 



that do e s not r e spond to th e comforting of 

car e giv e rs: 
(iv) indiscriminate — sociability; — for example, 

e xce ss ive familiarity with relative strong 

e rs; 

— fv4 self injurious or oth e r aggr e ssiv e behavior; 

(vi) substantiated evidence that raises concern 

for the child's emotional well being re 

garding: 
(4-) phy s ical abus e ; 



-m 



sexual abuse: or 



(444-) other environmental situations; 



434 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



as defined in G.S. 7A 517(1) and (21) 

(12) "Certifi e d counselor" m e ano an alcoholism, drug 

abuoe or oubotanoo abus e couns e lor who is 
oortifiod by the North Carolina Substance Abuse 
Professional Certification Board. 

(13) "Child" m e ano a minor from birth through 12 

years of ag e . 

(1 4 ) "Chronically mentally ill adult" means an indi 

vidual 18 years of ago or older who. as a result 
of a — m e ntal — disord e r, e xhibits e motional — &r 
bohavioral functioning which io so impair e d as to 
interfere substantially with his capacity to remain 
in the community without supportive treatment 
or s e rvices of a long term or ind e finite duration. 
In th e s e persons, mental disability i s sever e and 
persistent, resulting in long term limitation of 
their functional capacities for primary activities 
of daily living such as interpersonal r e lations, 
hom e moking, s e lf car e , e mploym e nt and r e or e 
ation. 

(15) "Client record" moans a written account of all 

s e rvio e s — provid e d a cli e nt — from the time of 
admission of the olient by th e facility until 
dischargo from the facility. 

(16) "Clinical" means having to do with the active 

dir e ct tr e atm e nt/habilitation of a cli e nt. 

(17) "Clinioal staff m e mb e r" m e ans a prof e ssional 

who provides active direct treatment/habilitation 
to a client. 

(18) "Clinioal/profosoional sup e rvision" moons r e gu 

larly sch e dul e d assistanc e by a qualifi e d m e ntal 
health professional, a qualified substance abuse 
professional or a qualified developmental disabil 
iti e s prof ess ional — to a staff m e mb e r who i s 
providing dir e ct, therap e utic int e rv e ntion to a 
client or clients. — The purpo s e of clinioal super 
vision i s to ensure that each client receive s 
appropriat e tr e atment or habilitation whioh is 
consistent with accept e d standards of praotie e 
and the needs of tho client. 

(19) "Contested case" means an administrative pro 

ceoding und e r G.S. 150B, Articl e 3. in whioh 



th e righto, privil e g es , or duties of a party ar e 
required by law to bo determined. 

(20) "Contract agency" moan s a legally con s tituted 

entity with which th e ar e a program contracts for 
a o e rvio e e xolusiv e of int e rmitt e nt purcha se of 
service for an individually identified client. 
"Day/night service" moan s a service provided on 
a r e gular basis, in a structur e d e nvironm e nt that 
is off e r e d to th e s am e indiv i dual for a p e riod of 
three or more hours within a 2 4 hour period. 
"Declaratory ruling" means a formal and bindir 



-mh 



433)- 



Hftg 



4A) 



int e rpr e tat i on a s to: 
— th e validity of a rul e ; or 



-(33)- 



Human Re s ources, or a rulo or order of the 
D e partm e nt of Human R e sources. 
"D e toxifioation" m e ano th e physical withdrawal 



of an individual from alcohol or other drugs in 
order that the individual can participate in rcha 
bilitation activities. 
"D e v e lopm e ntal!)' d e lay e d childr e n" moons those 



-(34)- 



whose development is delayed in one or more of 
the — following areas: — cognitive — development: 
phy s ical — dev e lopment, — including — vision — and 
h e aring: communication, social and e motional: 
and adaptive skills. — The specific level of delay 
must be: 
-(-A-) — for ohildr e n from birth to 36 months of ago, 
docum e nted by soor os on e and on e half s tan 
dard deviations bolow the moan on s tandard 
ized tests in at lea s t one of the above areas of 
d e v e lopm e nt. — Or, it may b e documented by a 
20 p e rc e nt delay on asses s ment instruments 
that yiold scores in months; and 
-(B) — for ehildron from 36 to 60 months of ago, 
docum e nt e d by t es t p e rformanc e two standard 
deviations b e low th e m e an on standardized 
tests in one area of development or by pcrfor 
manco that is ono standard deviation below the 
norm in two ar e as of d e v e lopm e nt. — Or, it may 
b e dooumonted by a 25 perc e nt d e lay in two 



-(33)- 



-m&- 



4374- 



43^ 



439^ 



4^©)- 



area s on assessment — instruments that 



kl 



4B) — tho applicability to a given state of facts of a 
statute administered — by tho Department — ef 



-v*> 

scores in months. 
"DFS" m e an s th e Divi s ion of Facility S e rvic e s, 
701 Barbour Driv e , Ral e igh, N.C. 27603. 
"Direct care staff" moans an individual who 
provides active direct care, tr o atmont, rohabilita 
tion or habilitation se rvic e s to cli e nts. 
"Disp e nsing m e dication" m e ans pr e paring and 
packaging a proscription drug or device in a 
container and labeling the container with infor 
mation — r e qu i r e d — by — s tat e — and — f e d e ral — lawr 
Filling or r e filling drug contain e rs with pre s erip 
tion drugs for subsequent u s e by a client i s 
"di s pen s ing. " — Providing quantities of unit dose 
pr e scription drugs for subs e qu e nt administration 
is "disp e n s ing." 

"DMH/DD/SAS" mcan3 the Divi s ion of Mental 
Health, Developmental Disabilit i es, and Sub 
stanc e Abuso Servic e s, 325 N. Salisbury Str ee t, 
Ral e igh, N.C. 27603. 

"Documentation" moans provision of written, 
dated and authenticated evidence of the delivery 
of cli e nt service s or complianc e with s tatute s or 
rul es , e .g., e ntries in the cli e nt r e cord, policies 
and procedure s , minuto3 of meetings, momo 
randa, r e ports, schedules, notices and announce 
m e nto. 
"Drug abu se " — m e ans psychoactive — substanc e 



abuso which is a residual category for noting 
maladaptive patterns of psychoactive s ubstance 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



435 



PROPOSED RULES 



-mh 



-{33>- 



4344- 



usc that have never mot the criteria for depend 
o nce for that particular class of substanc e . — The 
criteria for drug abus e delineat e d in th e 19 8 7 
edition of DSM III R published by the American 
Psychiatric Association, 1 4 00 K Street, N.W., 
Wa s hington, — Br-& — 20005 — at — a — eest — ef 
tw e nty nin e — dollars — and — nin e ty fiv e — c e nts 



($29.95 -) — fef — the — soft — cover — ed+ft 



-and 



thirty nine dollars and ninety five cents ($39.95) 
for th e hard cover e dition is incorporated by 
referenc e . — This incorporation by r e ference does 
not include subsequent amendments and edition s 
of the referenced material. 

(31) "Drug d e pendenc e " — moans psychoactive sub 

stance depend e nce which is a cluster of cognitiv e 
behavioral, — asd — phys i ologic — s ymptom s — that 
indicate that a person ha s impaired control of 
psychoactiv e substanc e use and continu e s us e of 
th e substance d e spit e adv e rs e cons e quences. 
The criteria for drug dependence delineated in 
the 1987 edition of DSM III R published by the 
American — Psychiatric — Association, — 1400 — K 
Street, N.W., Washington, DC. 20005 at a oost 
of twenty nine — dollars and — ninety five cents 
($29.95) — fef — the — soft — cover — edition — and 
thirty ; nine dollars and ninety fiv e c e nts ($39.95) 
for th e hard cov e r e dition is incorporat e d by 
reference. — This incorporation by reference docs 
not include subsequent amendments and editions 
of th e refer e nc e d material. 
"DWI" m e ans driving whil e impair e d, as d e 
fined in G.S. 20 13 8 .1. 

"DWI substance abuse assessment" — means a 
s e rvic e provid e d to persons charg e d with or 
convicted of DWI to determin e th e pr e s e nc e of 

chemical dependency. The "as s essment" in 

volve s a face to face interview with a substance 
abus e professional. 



'Earlv — Int e rv e ntion 



Servi 



m e ans — thos e 



services provided for infants and toddlers speci 
fied in Section 303. 12 of Subpart A of Part 303 
of Titi e 31 of th e Cod e of F e d e ral R e gulations, 
published 1/1/92 and incorporat e d by r e f e r e nc e . 
This adoption by reference include s subsequent 
amendments and — editions — of the — referenced 
mat e rial, which may b e obtain e d at no oost from 
th e Branch Head, Child and Adol e sc e nt S e r 
vice s , — Developmental — Disabilities — Section- 
Division of MH/DD/SAS. 325 N. Sali s bury 
Street, Raleigh, NC 27603. 
-fA) — For the purpos e s of th e s e s e rvic e s, how e v e r, 
transportation means assistance in the travel to 
ftfld — from th e — multidisciplinary — evaluation, 
specified e arly int e rv e ntion se rvic e s provid e d 
by c e rtifi e d d e v e lopm e ntal day c e nt e rs or other 
center based services designed specifically for 
children with or at risk for disabilitie s ; and 



speech, physical or occupational therapy, or 
oth e r early int e rv e ntion servic e s if provid e d in 
a sp e cializ e d s e tting away from the child's 
residence. 
-(-B-) — Transportation assistance may be provided by 
staff, e xisting public or private s e rvic e s^ or by 
th e family, who shall b e reimburs e d for th e ir 
expenses, in accordance with applicable fee 
provisions. 
-fC-) — For the purposes of th e s e servic e s, special 
in s truction m e ans individually d e sign e d eduoa 
tion and training in the strengths and needs of 
the — child — and — family — as identified — in th e 
multidisciplinary evaluation, in which th e focus 
is on th e major d e v e lopmental ar e as and indi 
vidual family needs. It occurs in two primary 
type s of settings, — home and — mainstreamcd 
c e nt e r bas e d: 

(+) Th e mainstr e amcd c e nt e r based settings 

can be thos e designed primarily for ohil 
dren with or at risk for disabilities, such 
as d e v e lopm e ntal day c e nters or thorapou 
tic pr e schools, if th e y allow for plann e d 
and ongoing contact with children without 
disabilities. 

(+i-) Main s tr e am e d c e nt e r bas e d settings also 

includ e thos e es tablish e d — primarily — fef 
children — without — disabilities. — stieh — as 
preschools. — family day care homes. — U- 
oensed child car e c e nt e rs: 

(+) wh e n — provid e d — in — these — programs. 

special in s truction al s o includes consul 
tation and training for staff on curricu 
fefH — d e sign. — t e aching — and — b e havior 
manag e m e nt strat e gi e s, and approach es 
to modification of the environment to 
promote learning; and 

(444 s e rvic e coordination activiti e s, inolud 

ing assistance to the family in id e ntify 
ing such programs must be provided 
with special instruction, if reque s ted by 
th e family. 
"Evaluation" m e ans an ass e ssment servic e which 



435^- 



identifies the nature and extent of an individual's 
problem through a systematic appraisal, for the 
purpos e s of diagno s i s and d e t e rmination of th e 
disability of the individual and th e most appro 
priatc plan, if any. for services. 

(36) "First — aid- 11 — means — emergency — treatm e nt — fef 

injury or sudd e n illness b e for e r e gular m e dical 
car e is availabl e . — Fir s t aid includ e s artificial 
re s piration, the Heimlich maneuver, or other 
Red — Cross first aid techniques — for relieving 
airway obstruction, care of wounds and burns, 
and t e mporary administ e ring of splints. 



-Wh 



"Gov 



erning 



body ' 



moans. — in the case — ot a 



4- 



oorporation. the board of director s ; in the case 



436 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



of an area authority, the area board: and in all 
othor oases, the own e r of the facility, 

(3 8 ) "Health Sorvieoo" means thoso sorvio e s provid e d 

for infants and toddlor3 specified — in Section 
303. 13 of Subpart A of Part 303 of Title 3 4 of 
the Code of F e d e ral — Regulations, — publish e d 
6/22/ 8 9 and incorporat e d by r e f e r e nc e . — This 
incorporation by reference — does not include 
subsequent — amendments — and — editions — of the 
refer e nced mat e rial. 



-<m- 



-mh 



"Hearing" m e ans, unless otherwis e specifi e d, a 
contested case hearing under G.S. 150B, Article 

"High risk childr e n" moans those from birth to 
36 months of ag e for whom there is clinical 
evidence of conditions which have a high proba 
bility of resulting in developmental — delay or 
atypical — developm e nt — and for whom th e r e i s 
clinical e vid e nc e that d e v e lopm e ntal or th e rap e u 
tic intervention may be necessary. — There are 
two categories of high ri s k children. — These are: 
-(-A-) — High Risk Establish e d: — Diagnosed or doou 
m e nt e d physioal or m e ntal conditions which 
are known to re s ult in developmental delay or 
atypical development as the child matures. 
Suoh — conditions — inolud e , — but n ee d — not b e 
limited to ar e limit e d to th e following: 

(+) chromosomal anomaly or genetic disorders 

associated with developmental deficits: 
m e tabolic disord e rs associat e d with d e v e l 



-m- 



opmental d e ficits: 
(iii) infectious diseases associated with devel 



-fv4- 



opmontal deficits: 
neurologic disord e rs: 



cong e nital malformations; 



fv4-) s en s ory di s order s : or 

— fv+i} toxic exposure: or 

— (viii) s ever e attachm e nt di s ord e r s . 

-(-B) High Risk Pot e ntial: — Docum e nt e d pr e s e nc e of 

indicators which are associated with patterns of 
development and which have a high probability 
of mooting th e crit e ria for d e v e lopm e ntal delay 
or atypical dev e lopm e nt as th e child matur e s. 
There shall be documentation of at least three 
e£ — the — parental — ©f — family, — neonatal, — of 
po s tn e onatal risk conditions as defined on pag e 
12 in th e 1990 publication, "NORTH CARO 
UNA CHILD SERVICE COORDINATION 
PROGRAM" available from the Division of 
Mat e rnal and Child H e alth, — D e partm e nt of 
Environm e nt, H e alth and Natural R e source s , 
P.O. Box 27687, Raleigh, NC 27611 7687 
and incorporated by reference. — This incorpo 
ration by r e f e r e nc e do e s not inc l ud e subs e 
qu e nt am e ndments and e ditions of th e r e f e r 



enced material. — The s e conditions are as fol 

lows: 



— 1±) maternal age less than 1 5 years: 

-fi+9 mat e rnal PKLi; 



(iii) moth e r HIV positive: 



-W- 






(xviii) 



maternal use ot ant i convulsant, antineo 
plastic or anticoagulant drugs: 
par e ntal blindn e ss: 



— (-V+) par e ntal substanc e abuse: 

(vii) parental mental rotardat teftv 

( viii) parental mental illness; 

— (ix) — difficulty in par e ntal or infant bonding: 
difficulty in providing basio par e nting; 
lack of stable housing; 



— t-x-ii) lack of familial and social support; 

(xiii) family history of childhood d e afness; 

(xiv) mat e rnal h e patitis B; 

— fx-v-) birth weight less than 1500 gram s ; 

(xvi) gestational age less than 32 weeks; 

(xvii) respiratory distr e ss (m e chanical v e ntilator 



gr e at e r than six hours); 
asphyxia: 



(xix) hypoglycemia (less than 25 mg/dl); 

fx-x-) hyp e rbilirubinemia — (gr e at e r — tfean — 20 

mg/dl); 

(xxi) intracranial hemorrhage; 

(xxii) neonatal seizures; 

(xxiii) major cong e nital anomali e s: 

(xxiv) CNS inf e ction or trauma; 

(xxv) congcnitally acquired infection; 

(xxvi) suspected vi s ual impairment; 

(xxvii) suspected h e aring impairment; 

(xxviii) no w e ll child car e by age six months; 

(xxix) failure on standard developmental or son 

sory screening test; 

(xxx) significant parental conc e rn; and 

(xxxi) susp e ct e d abu se or n e gl e ct. 

( 4 1 ) "Hours of operation" moan3 an indication of the 

minimum operational houre that a service i s 
e xpected to b e availabl e — to cli e nts, — but not 
prohibiting th e typical closing of a s e rvic e to 
accommodate holidays, vacations, staff develop 
ment activities and weather and facility related 
conditions but talcing into consid e ration th e typ e 
of s e rvic e being provid e d. 

-(42} "ICF/MR" (Intermediate Care Facility/Mentally 

Retarded) means a facility certified as having 
m e t f e d e ral ICF/MR r e quir e m e nts and which 
provides 21 hour personal car e , — habilitation, 
developmental and supportive services to persons 
with mental retardation or related conditions. 
('13) "Incid e nt" m e ans any happ e ning which is not 



consistent with the routin e operation — of the 
facility or the routine care of a client and that is 



-(44)- 



likely to lead to adverse effects upon a client. 
"Infant" m e ans an individual from birth to one 



y e ar of ag e . 

" Legend drug" means a drug that cannot be 

dispensed without a prescription. 



445^- 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



437 



PROPOSED RULES 



( 4 6) "License" means a permit to operate a facility 

which is issued by DFS under G.S. — 122C, 
Articl e 2. 

( 4 7) "Medication" means a substance recognized in 

the official "United States Pharmacopoeia" or 
"National Formulary" intend e d for us e in th e 
diagnosis, mitigation, treatment or pr e v e ntion of 
disease. 

( '1 8) "Minor client" means a person under 1 8 y e ar s of 

age who has not b ee n married or who has not 
boon omaneipatod by a d e cr ee is s u e d by a court 
of competent jurisdiction or is not a member of 
the armed force s . 

( . 19) "Neighborhood" — Se e "r e sidential setting". 

(50) "Nurs e " mean s a p e rson licens e d to practic e in 

the State of North Carolina either as a registered 
nurse or as a licensed practical nurse. 

(5 1 ) "Op e rator" means the designat e d ag e nt of th e 

governing bod)' who is r e sponsibl e — for th e 
management of a lioensable facility. 

(52) "Outpatient" or "Outpatient service" means the 

sam e a s periodic s e rvic e . 

(53) "Parent" m e ans th e l e gally r e sponsibl e p e rson 



unless otherwise clear from the context . 
'Periodic — service" — means a service provided 



-{54>- 



through s hort, r e curring visits for p e rsons who 
are m e ntally ill. d e v e lopm e ntally disabl e d or 
substance abusers. 

(55) "Personal assistance" means providing assistance 

to a client who is m e ntally ill. has a d e v e lop 
m e ntal di s ability or disabiliti e s, or is a substance 
abuser, in order that the client can engage in 
activities and interactions from which the client 
would otherwis e b e limit e d or e xclud e d becau s e 
of th e disability or disabiliti e s. — The assistance 
shall include, but need not b e limited to: 
(-A-) — assistance in personal or regular living aotivi 



■m- 



ti e s in th e cli e nt's hom e ; 
support in skill d e v e lopm e nt; or 



(-£} — support and accompaniment of the client in 

regular community activities or in specialized 
tr e atm e nt, habitation or r e habilitation service 
programs. 

(56) "Physical e xamination" mean s the procedures 

used by a physician or physician extender on 
b e half of a physician to d e t e rmin e th e physiolog 
ie*l — and anatomical — condition of th e cli e nt- 
Physical examination also means medical exami 
nation. 

(57) "Phy s ician extender" mean s a nurs e practition e r 

or a phy s ician assistant approv e d to p e rform 
medical acts by the Board of Medical Examiners 
of the State of North Carolina. 
(58) "Pr es chool ag e child" means a child from thr ee 



-&h- 



through fiv e y e ars of ag e . 

"Private facility" — means a facility not operated 

by or under contract with an area program. 



(60) "Program — evaluation" — moans — the — systematic 

docum e nt e d assessment of program activity to 
d e t e rmin e th e e ff e ctiv e ness, effici e ncy and scop e 
of the system under investigation, to define its 
strengths and weaknesses and thereby to provide 
a basis for inform e d d e cision making. 

(6 1 ) "Provid e r" — m e ans — ra — individual. — ag e ncy — &r 

organization that provides mental health, mental 
retardation or substance abuse services. 

(62) "Psychiatric nurs e " m e ans on individual who is 

lic e ns e d to practic e as a register e d nurs e in the 
State of North Carolina by the North Carolina 
Board of Nursing and who is a graduate of an 
accr e dit e d mast e r's l e v e l program in psychiatric 
mental h e alth nursing with two y e ars of e xp e ri 
once, or has a master's degree in behavioral 
s cience w ; ith two year s of supervised clinical 
e xp e rienc e , or has four y e ars of e xperienc e in 
p s ychiatric m e ntal h e alth nursing. 

(63) "P s ychiatric s ocial worker" means an individual 

who holds a master's degree in social work from 
an accredit e d school of social work and has two 
y e ars of clinical social work e xp e ri e nc e . 
"Psychiatrist" means an individual who is li 



-{64}- 



-&S±- 



censed to practice medicine in the State of North 
Carolina and who has completed an accr e dit e d 
training program in psychiatry. 
"Psychotherapy" means a form of treatment of 
mental illne s s or emotional disorders which is 
bas e d — primaril) — upon — verbal — of — non v e rbal 
communication with th e pati e nt. — Tr e atm e nt is 
provided by a trained profe ss ional for the pur 
po s e of removing or modifying existing symp 
toms. — of attenuating — of — r e v e rsing — disturb e d 
patterns of behavior, and of promoting positiv e 
personality growth and development. 
"P s ychotropic — medication" — means medication 



-«&h 



with th e primary — function of tr e ating m e ntal 
illness, p e rsonality or b e havior disord e rs. — Th e c e 
medications include. — but are not limited to. 
antipsychotics. — antidepressants. — neuroleptic s , 
lithium and minor tranquiliz e rs. 

(67) "Qualifi e d alcoholism prof e ssional" m e ans an 

individual who is certified by the North Carolina 
Sub s tanc e — Abuse — Professional — Certification 
Board or who is a graduat e of a coll e g e or 
univ e rsity with a baccalaureat e — or advanc e d 
degree in a human service related field with 
documentation of at least two years of s uper 
vis e d e xp e ri e nce in the prof e ssion of alcoholism 
couns e ling. 
"Qualified — developmental — disabilities — profes 



4^ 



sional" means an individual holding at least a 
b a ccalaur e ate degre e in a disciplin e r e lated to 
d e v e lopm e ntal disabilities, and at l e ast two years 
ot s upervi s ed habilitative experience in working 
with the mentally retarded or otherwi s e develop 



438 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



montally disabled or holding a baccalaureate 
dogroo in a field oth e r than one relat e d to d e v e l 
opmontal dioabiliti e o and having three yoaro of 
supervised — experience — m — working with — the 
montally retarded or otherwise dovolopmentally 
dioabl e d. 

(69) "Qualifi e d drug abus e professional" m e ans an 

individual who is certified by the North Carolina 
Substanc e — Abuse — Professional — Certification 
Board or who is a graduat e of a ooll e g e or 
univ e rsity with a baooalaur e at e — or advanc e d 
dogroo in a human sorvico related field with 
documentation of at least two years of super 
vis e d e xperienc e in th e profession of drug abus e 
oouns e ling. 

(70) "Qualified mental health professional " moans 

any one of the following: psychiatrist, psychiat 
rio nurs e , praotioing psyohologist, psychiatrio 
sooial work e r, an individual with at l e ast a 
master's dogroo in a related human sorvico field 
and two years of supervised clinical experience 
in mental h e alth sorviooo or an individual with a 
baooalaureat e d e gr ee in a r e lat e d human s e rvio e 
field and four years of supervised clinical oxpo 
rionoo in mental health services. 

(71) "Qualified nutritionist" m e ans an individual who 

has a Master's d e gr ee in nutrition, nutrition 
education or public health nutrition and who may 
or may not bo a registered dietitian. 

(72) "Qualifi e d substance abus e professional " moans 

an individual who is: 

(-A) — certified by the North Carolina Substance 

Abuso Professional Certification Board; or 

(-B-) — a graduat e of a coll e g e or univ e rsity with a 

bacoalauroato or advanced dogroo in a human 
sorvico rolatod fiold with documentation of at 
least two years of supervised oxperioncc in the 
prof e ssion of alooholism and drug abuse ooun 
s e ling. 



-em- 



"Rogist e red dietitian" moans an individual who 
has successfully completed a national oxamina 
tion for th e Commission on Diototio Registration 
and maintains r e gistration with that commission 
through approved continuing education activities 
and events. 

(71) "R e habilitation" m e ans training, car e and sp e 

oializ e d th e rapi e s und e rtak e n to assist a client to 
reacquire or maximize any or all lost skills or 
functional abilities. 

(75) "R e s e arch" moan s inquiry involving a trial or 

sp e cial — obs e rvation — mad e under — conditions 
determined by the investigator to confirm or 
disprove a hypothesis, or to explicate some 
principl e or e ff e ct. Th e term "roooarch" as used 
in this docum e nt m e ans research which is not 
standard or conventional; — involves a trial or 
special — observation — which — would — placo — the 



subject at risk for injury (physical, psychological 
or sooial injury), or incr e ase th e chance of 
disclo s ur e of tr e atm e nt; utilizes elem e nts or stops 
not ordinarily employed by qualified profession 
als treating similar di s orders of thi s population; 
or is a typ e of proc e dur e that sorv e s th e purpose 
of th e researoh only and do e s not includ e treat 
mont designed primarily to bonofit the individ 

(76) "R e sid e ntial setting" m e ans a living aroa or zone 

in which th e primary purpos e is family resid e n 
tial living and which may be located in an area 
zoned either urban residential or rural. 

(77) "R e spit e discharg e " m e ans that point in time 

wh e n no additional inoid e nts of r e spite s e rvic e s 
are anticipated. 

(78) "Respite opisodo" moons an uninterrupted period 

of tim e during which a cli e nt rec e iv e s r e spite 
s e rvic e s. 

"Screening" moans on assessment service which 
provides for a brief appraisal of each individual 
who pr e s e nts hims e lf for s e rvic e s, in ord e r to 
d e t e rmin e th e natur e of th e individual's probl e m 
and his need for s ervice s . — Screening may also 
include referral to other appropriate community 
r e sources. 



-tm- 



-4m- 



-<m- 



" Secretary" m e ans th e S e cr e tary of th e D e part 
mont of Human Resources or dosignoo. 
"Service" moans an activity or interaction in 



t e nd e d to benefit anothor, with, or in bohalf of, 
an individual who is in need of assistance, oar e , 
habitation, intervention, rehabilitation or treat 
mont. 

(82) "S e v e r e ly physically disabled person" means for 

th e purpose of ADAP (Adult D e velopmental 
Activity Program) a person: 

(-A) — who has a severe physical disability which 

s e riously — limits — few — functional — capabilities 

(mobility, oommunioation, s e lf car e , 

solf direction, work tolerance or work skill s ); 

(-B-) — who has one or more physical di s abilities 

resulting from amputation, arthritis, blindn e ss, 
oanoer, corobral palsy, cystic fibrosis, d e af 
noss, heart disease, hemiplegia, hemophilia, 
respiratory or pulmonary dysfunction, multiple 
scl e rosis, muscular dystrophy, musculosk e l e tal 
di s ord e r s , — neurological — disorders (including 
stroke and epilepsy), paraplegia, quadriplegia, 
and other spinal cord conditions, sickle cell 
an e mia and ond stago r e nal dis e ase; and 

(G) — whos e habilitation or rehabilitation can be 

expected to require multiple habitation or 
rehabilitation services over an extended period 
of tim e . 

( 8 3) "Sh e lt e r e d — e mploym e nt" — m e ans — a — facility' s 

provision of work and work training by: 
(A) — subcontracting from industries in the commu 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



439 



PROPOSED RULES 



nity and bringing work to the facility to bo 
performed; -et^ 
-f£-) — manufaeturing its own produoto in th e facility. 
Clients — served — in a — sheltered — employment 
model — are — those who consistently — achieve 
earning levels exce e ding one half of th e mini 
mum wage but who ar e not ready for ind e 
pendent employment activities. 



-f84>- 



^S«rff- 



member — means any 
employ e d by th e facility. 



individual who is 



( 8 5) "Substantially m e ntally r e tard e d p e rson" m e ans 

for the purpose of ADAP a person who is 
mentally retarded to the degree of seriously 
limiting his functional capabilities, whos e habili 



which: 

(tM — th e m e dication needs of oli e nto may b e e valu 

at e d, m e dication proscrib e d and laboratory 
tost3 ordered to assist in the diagnosis, treat 
mont and monitoring of problems associated 
with th e mental h e alth, m e ntal r e tardation or 
other developm e ntal disabilities or substance 
abuse disorder of clients; and 

(4£) — proper referral of the client is made to medical 

sp e cialists wh e n n ee ded. 

(92) "Tw e nty four hour s e rvic e " moans a s e rvic e 

which is provided to a client on a 2 4 hour 
continuous basis. 



tation or rehabilitation can b e e xp e ct e d to e xt e nd Statutory Authority G.S. 122C-3; 122C-26; 143B-147. 
over a period of time, and including: 
— moderately mentally retarded persons; 



-(A) 

-f&) — s e v e rely m e ntally retard e d p e rsons; 
-f&) — profoundly mentally retard e d p e rsons: or 
-fD) — mentally retarded persons with a handicapping 



SECTION .0200 - LICENSURE 



4S64- 



■W) 



4*&) 



-689}- 



{90} 



-fWV 



.0201 LICENSE REQUIRED 

fa-) — No person s hall establish, maintain or operate a 
condition so severe as to lack the potential for liccnsablo facility for the mentally ill. mentally retarded or 

otherwise dovolopm e ntally disabl e d, or substanc e abus e rs 
without first obtaining a lic e ns e from th e Division of 



e mploym e nt at this tim e , e ith e r in a sh e lt e r e d 

or competitive s e tting. In addition. — suek 

individuals must have a deficit in self help. Facility Services. 701 Barbour Drive. Raleigh, N.C. 27603. 
communication, socialization or occupational (b) In accordance with G.S. 122C 3(1 4 ) a facility shall bo 

skills and b e r e commended by th e vocational licenced if th e primary purpos e of th e facility is to provid e 



r e habilitation couns e lor for consid e ration of 

placement in an ADAP 
"Support services" means services provided to 
e nhanc e an individual's progress in his primar y ' 
treatm e nt/habilitation program. 
"Supported employment" — means a day/night 
service which involves paid work in a job which 
would otherwise b e don e by a non disabl e d 
work e r. Support e d e mploym e nt is carri e d out in 
on integrated work site whore a small number of 
people with di s abilities work together and where 
th e work sit e is not imm e diat e ly adjac e nt to 
anoth e r program s e rving persons with di s abili 
tie s . It includes intensive involvement of staff 
working with the individual s in those integrated 



s e rvic e s for th e care, treatm e nt, habitation or r e habilitation 
for one or more minors, or for two or more adults who are 
mentally ill. dovolopmentally disabled or are substance 
abus e rs as follows: 

— m- 



lg wit 
se tting s . 



Wh e n th e primary purpose of a 21 hour facility 
i s to provide treatment, the facility shall be 
licensed in accordance with rulos specific to the 
typ e of tr e atm e nt provided or th e population 
served; or 

-f2-) When the primary purpose of a 2 4 hour facility 

is to provide habilitation, rehabilitation, or care 
in a hom e e nvironm e nt, thereby necessitating the 
pres e nce of an employe e who will provide client 
supervision, the facility shall be licensed under 
the provi s ions of 10 NCAC 1 4 Q .0700 — Super 
vis e d Living. 



"Toddler" m e ans an individual from on e through — («4 — Living arrang e m e nts that may b o coordinat e d, orga 



two years of age. 



nized or provided for or in conjunction with adult client s by 

rhe nrnvision nf nn<n> — mnnnqemont — nr ner^onnl — nssistnnnp 



"Treatment" moons the process of providing for the provision of case management or personal assistance 



th e physical, e motional, psychological and social 
needs of cli e nts through s e rvic e s. 



^T-fe 



rcatment/habilitation plan" moans a plan in 
which one or more — professional s , privileged in 
accordanc e with iO NCAC MK .0319, working, 
with th e cli e nt and, in s om e cas e s, family m e m 
ber s or other s ervice provider s , document which 
interventions will be provided and the goals, 
obj e ctiv e s and strat e gi e s that will b e follow e d in 
providing se rvic e s to th e cli e nt. 
"Twenty four hour facility in which medical care 
is an integral component" means a fac i lity in 



shall not b e consider e d residential faciliti e s that require 
lic e nsing und e r G.S. 122C. 

(d) Mat e rial incorporated by reference in this Rule shall 
include subsequent amendments and editions. 



Statutory Authority 
143B-147. 



G.S. 122C-3; 122C-23; 122C-26; 



.0202 EXCLUSIONS FROM LICENSURE 

Thos e faciliti e s and p e rsons d e lineated in G.S. 122C 22(a) 
shall not be subject to licensure under the provisions of G.S. 
I22C. Article 2. 



440 



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10:7 



PROPOSED RULES 



Statutory Authority G.S. 122C-22(a); 122C-26; 143B-147. 

.0203 APPLICATION FOR LICENSE 

(a) Any poraon an defined in G.S. 122C 3(2 8 ) intending 



is found to bo temporarily unable to comply with a rule or 
rules and th e r e is no imm e diat e thr e at to th e h e alth, oafoty 
or w e lfar e of th e individuals served. 

(b) Provisional licensure shall not exceed six months. 
— fe) — During the provisional liconsuro period, the person 



to establish, maintain or op e rat e a lioonoable faoility for th e shall submit a stat e m e nt for r e vi e w and approval by DFS 



mentally ill, m e ntally retard e d or otherwise d e v e lopm e ntally 
disabled or substance abusers shall apply to DFS for a 
liconse. 

(b) — The person shall submit a oompl e t e d lic e nsur e 
application to the Lio e nsuro Section of DFS at l e ast 30 days 
prior to the planned date of operation of tho facility. — In 
those situations involving therap e utic homos operated by 
either ar e a programs or th e ir oontraot ag e noi e s, whore a 
faoility is needed imm e diately, application and proc e ssing 
time may bo shortened to a period not to exceed seven days. 

(c) Tho person shall bo in compliance with all applicable is in compliance with all applicable rules and statute s . 
C e rtificate of Need and looal zoning r e quir e m e nts. 
— (d) A n e w or revis e d lic e ns e application may bo required 
by DFS upon any chango in ownership, construction or 
othor alteration to tho physical plant, (such as relocation of 
walls, doors or ohang e in finish e s) or th e addition of or 
ohong e of sorvio e o. 

Statutory Authority G.S. 122C-3(28); 122C-23; 122C-26; 
143B-147. 



d e soribing th e oorr e otiv e aotion(s) tak e n. 

— (d) When all out of compliance issues are fully resolved 

and documented, a regular license shall bo issued. 

( e ) A faoility shall not reo e iv e two oons e outivo provisional 
lio e ns e s. 

Statutory Authority G.S. 122C-23(e); 122C-26; 143B-147. 

.0207 REGULAR LICENSE 

(a) A regular license shall bo issued only when a facility 



(b) — A regular lio e no e shall bo valid for a period not to 
oxoood two y e ars from tho date on whioh th e lioonso is 
issued. 



.0204 CONTENT OF LICENSE APPLICATION 
FORMS 

Th e oont e nt of lioonso application forms shall inoludo tho 
following: 

(1) namo of tho porson as defined in G.S. 122C 3(28) 

submitting tho application; 

(2) busin e ss namo used by tho faoility, if applicabl e ; 

(3) str ee t looation of th e faoility (inolud e multipl e 

addresses if moro than one building at one site); 
— (4) namo and title of tho operator of tho facility; 

(5) typ e of faoility; o e rvio e s off e red; ag e s s e rv e d; and, 

wh e n applicabl e , oapaoity and a floor plan show 
ing bod locations and room numbers, any un 
locked time out rooms, and any locked interior or 
e xt e rior doors whioh would prohibit free ogress of 
oli e nts; and 

— (6) indication of whothor the facility is operated by an 

area program, under contract with an area pro 
gram or is a privat e faoility. 

Statutory Authority G.S. 122C-3(28); 122C-23(c); 122C-27. 

.0205 TYPES OF LICENSE 

Eaoh faoility shall hav e e ith e r a provisional or a r e gular 
license. 



Statutory Authority G.S. 122C-23; 122C-26; 143B-147. 

.0208 ISSUANCE OF LICENSE 

(a) In accordance svith tho provisions of Rules .0206 and 
.0207 of this Section, — DFS shall issue a lioenoe after 
oomplotion of th e following: 
(+) DFS determines that tho applicant is in compli 

once with all Certificate of Need rulos as codi 

fi e d in 10 NCAC 3R .2600 when applicable; 
f2) DFS approv e s th e archit e ctural drawings, phyoi 

cal plant changes, construction and room usage 

of tho facility; 
(3} DFS d e t e rmines that th e applioant is in compli 

anc e with all fir e saf e ty, sanitation and waste 

disposal requirements; 



-W- 



-&h 



DFS conducts an on site inspection; and 



DFS reviews th e faoility to det e rmin e compli 
anoe with lioonoure rulos and applicable statut e s. 

(b) No lioonso shall bo issued when DFS determines that 
there is an immediate throat to tho health, safety or welfare 
of an individual in tho faoility. 

(o) — A lic e n se shall be issuod to th e applioant for tho 
specific promise s and typos of approved licensed sorvicos 
indicated on tho application. 

(d) — DFS shall issu e a oorroct e d licens e in oases of 
administrativ e or clerical e rror by th e applioant or DFS. 
Such corrected license shall not bo considered amondmont 
of a liconse. 

Statutory Authority G.S. 122C-23; 122C-26; 122C-27(5); 
143B-147. 



Statutory Authority G.S. 122C-23; 122C-26; 143B-147. 

.0206 PROVISIONAL LICENSE 

(a) A provisional lioonso may bo grantod when a facility 



.0209 POSTING OF LICENSE 

— (a) For all facilities providing periodic and day service s , 
tho license shall be posted in a prominent location and 
acce ss ible to public v i ew within tho licensed promises. 



70:7 



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July 3, 1995 



441 



PROPOSED RULES 



— ffe} — For 21 hour facilities for the mentally ill, mentally 
retarded or oth e r dcv e lopmontally disabl e d, th e lic e ns e shall 
b e readily available for review upon request, 
— fe-) — For 2 1 hour facilities for substance abusers, the 
license shall be posted in a prominent location and acccssi 
ble to public vi e w within the lic e nsed premis e s. 

(d) Additional copi e s of th e lic e nse shall b e availabl e or 
posted in accordance with (a), (b) and (c) of this Rule when 
there arc multiple buildings at the licensed location. 



Statutory Authority- G.S. 122C-26; 143B-147. 



.0210 LICENSE RENEWAL 

— fa-) — R e n e wal of regular licen s es shall b o a s sp e cifi e d in 
G.S. 122C 23( e ). 



receive an on site licensure inspection at least once every 
two y e ars, and mor e fr e qu e ntly if n e c e ssary, to det e rmine 
complianc e with all applicabl e lic e nsur e r e quirements. 
— fb) — All facility inspections shall bo conducted in aocor 
dance with the provisions of G.S. 122C 25. 
— fe-) — Insp e ctions conduct e d as a r e sult of a complaint 
alleging the violation of am lic e nsur e r e quir e m e nt may be 
conducted at anv time of the dav without advance notico. 



Statutory Authority G.S. 122C-25(c); 122C-27(4). 

.0214 CLOSURE OF A FACILITY OR 

DISCONTINUATION OF A SERVICE 

When a lic e ns ee plans to close a facility or discontinue a 
s e rvic e , writt e n notice at lea s t 30 davs in advance shall b e 



(b) Prior to license renewal, the licensee shall submit to provided to DFS. — This notice shall address continuity of 



DFS the following information: 

(-+-) application for lic e ns e r e n e wal: 



-m- 



looal fir e insp e ction reports on an annual basis: 

-f3-) local sanitation inspection reports on an annual 

basis for facilities which provide room or board: 



services to client s in the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0215 DENIAL: SUSPENSION: REVOCATION 
OR AMENDMENT OF LICENSE 



-f4-) a brief d e scription of any chang e s in th e facility — (fit) — DFS may d e ny, revok e , susp e nd or am e nd a lic e ns e 

when there is substantial failure to meet any of the require 
ments of G.S. 122C, Article 2 or other applicable statutes 



since the most recent initial or renewal applica 
tion form was completed. 



-f» — Failure of th e lic e nse e to supply the r e quir e d inform s- or any applicabl e rul e adopt e d to meet th e provisions of 



tion may r e sult in r e vocation of the lic e ns e to op e rat e th e 
facility. 



th e s e statut e s. 



(b) When on application for initial license is denied. DFS 
(d) DFS shall obtain any other information necessary for shall give the applicant written notice of intent to deny the 

lic e ns e and th e r e asons for th e d e nial. — Th e writt e n notic e 



proper administration and e nforcement of all applicabl e 
lic e nsur e requir e m e nts. 

Statutory Authority G.S. 122C-23(e): 122C-26: 130A-235; 
143B-147. 



0211 SEPARATE LICENSE 

-fa-) — A single license shall be issued to each facility with 

h s e parate and distinct s e rvic e list e d individually on th e r e asons for th e propos e d action: and th e right to r e qu e st a 
ic e ns e . 



shall also advis e the applicant of th e right to r e qu e st a 
contested case hearing according to the procedure s in Rul e 
.0218 of this Section. — Despite any appeal action, the facility 
shall not operate until a d e cision is mad e to issue a license. 
— fe-) — Exc e pt for summary susp e nsions which ar e gov e rn e d 
by (d) of this Rule, DFS shall give the licensee written 
notice of intent to revoke, suspend or amend the license: the 



eae 



cont e st e d cas e h e aring according to th e proc e dures in Rule 
-fb) — Separate licenses shall be required for facilities which .0218 of this Section. — If the licensee does not request a 



are maintained on separate sites even though they are under 
the s am e own e rship or manag e m e nt. 



contested case hearing within the prescribed time specified 
in G.S. 150B 23(f), DFS may revok e , susp e nd or am e nd th e 
lic e ns e imm e diat e ly. — If th e licensee petitions for a h e aring. 

Statutory Authority G.S. 122C-23(b); 122C-26; 143B-147. the existing license does not expire and no action may be 

taken until the last day for applying for judicial review of 

.0212 LICENSED CAPACITY the order under G.S. 150B 3 and 150B . 15. 

A facility shall acc e pt no mor e cli e nts than th e numb e r for 

which it is licensed. 

Statutory Authority G.S. 122C-26; 143B-147. 
.0213 LICENSURE CsSPECTION 



— fd^ — Should findings show that public h e alth, saf e ty or 
welfare considerations require emergency action, DFS shall 
issue an order of s ummary suspension and include the 
findings in its ord e r. — At th e tim e the ord e r is i s su e d, DFS 
shall also p e tition th e Offic e of Administrativ e H e arings for 
a contested case hearing in the matter according to G.S. 



— f&) — DFS shall inspect all facilities prior to licensure. — M 150B 23(a). — Th e order shall suspend only those privileges 
a facility is provisionally licensed, DFS shall r e insp e ct th e or s e rvic e s as n e c e ssary to protect th e public interest, 
facility prior to e xpiration of th e provisional license to Exampl e s of sp e cific s e rvic e s or privileges include susp e n 

s ion of admi ss ion s , removal of all clients or a certain 
category ' of at risk client s from the facility, suspen s ion of 



assure correction of finding s of non compliance. — Once a 
regular license has been issued to a facility', the facility shall 



442 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



on gito laboratory services, and suspension of privilogos to 
use a o e rtain building or portion of a building, — An ord e r of 



DMH/MR/SAS; and may al s o request additional information 
or oonsult with additional parti e o ao appropriate. 



summary susp e nsion ohall bo offootiv e on th e dat e op e oifi e d — fe) — A d e oision r e garding th e waiver request shall bo 



in the order or on service of the order at the last known 
address of tho licensee, whichever is later, and shall bo in 



issued in writing by the Director of DFS and shall state tho 
roasons why tho roquost was grantod or denied and any 



full foroo and offoot during any oontosted oas e h e aring as sp e oial oonditiono r e lating to th e r e qu e st. — A oopy of tho 



provid e d for in G.S. 150B 3(o). — Th e ord e r may also s e t a 
dato by which tho licensee shall remove tho cause for tho 
emergency action. — If tho order for summary suspension 
inolud e s a dat e by whioh tho lioono ee shall r e mov e th e oaus e 
for omorg e noy aotion and th e lio e no ee fails to meet that 
deadline, DFS may take action to rovoko or amend th e 
facility's license according to (c) of this Rule. 

Statutory Authority G.S. 122C-24; 122C-26; 122C-27; 
143B-147; 150B-3; 150B-12(a); 150B-23(a)(f); 150B-45. 



.0216 WAIVER OF LICENSURE RULES 

— fa} — Th e Director of DFS may waiv e any lio e nsur e rul e 
contained in 10 NCAC 1 4 K through 1 4 0. Tho decision to 
grant or deny tho waiver request shall bo based on, but not 
limit e d to, the following: 

(44 th e natur e and e xtent of th e r e qu e st; 

f24 tho existence of safeguards to ensure that tho 

hoalth, safety, or welfare of tho clients will not 

bo threat e n e d; 



d e oision shall b e s e nt to the Director of DMH/MR/SAS. If 
tho rule in question was adopted by tho commission, tho 
Director of DMH/MR/SAS shall sond a copy of tho decision 
to all commission m e mb e rs. 

— ff) — Th e d e oision of th e Director of DFS regarding a 
waiver reque s t may bo appealed to tho Commission through 
tho contested case process sot out in 10 NCAC 1 4 B .0300. 
Th e app e al shall b e in writing and shall bo fil e d within 60 
days of r e c e ipt of th e d e oision r e garding th e waiver r e qu e st. 
(g) — Waivers shall not exceed tho expiration dato of tho 
current liconso and ohall bo subject to renewal consideration 
upon tho r o qu os t of th e lic e ns ee . 



Statutory Authority G. S. 
122C-27(9); 143B-147. 



122C-23(f); 122C-26(4); 



-&- 



.0217 DECLARATORY RULINGS 

(a) Tho Commission shall have the authority to issue all 
declaratory rulings arising undor G.S. 122C, Article 2, and 
10 NCAC 14K through HO. 
th e waiver will not aff e ot th e h e alth, saf e ty, or (b) R e qu e sts for d e claratory rulings shall b e initiat e d by 



44)- 



welfare of clients; 

tho existence of good cause; and 



tho filing of a petition with tho Commission at 325 N. 
Salisbury Street, — Raleigh, — N.C. — 2761 1 — in care of tho 
docum e ntation — of ar e a board approval wh e n Dir e otor of th e DMH/MR/SAS. — Th e p e tition shall oontoin 

th e following information: 

(44 tho name, address, and tolophono number of tho 

petitioner; 
(3) th e statut e or rule to whioh th e p e tition r e lat e s; 



r e qu e sts ar e from area programs and contract 
agoncios of area programs, or documentation of 
governing body approval when requests are from 
privat e faciliti e s not oontraoting with ar e a pro 
grams. 
— (b) Requosts for waivers shall bo sent to tho Director of 
DFS, 701 Barbour Drive, Raleigh, North Carolina 27603. 
— fe) — Th e r e qu e st shall b e in writing and ohall oontain: 
(4) th e nam e , addr e ss and t e l e phon e numb e r of tho 



-f3-) a conci se stat e m e nt of th e facts giving ris e to th e 

petition and tho impact or potential impact of tho 
statute or rule on tho petitioner, with supporting 
docum e ntation as appropriat e ; 



-444- 



-&- 



a sp e cific r e qu e st for a d e claratory ruling; and 



-m- 



t e l e phc 
requestor; 

tho name, addross and tolophono number of tho 
faoility for whioh th e waiv e r is r e qu e st e d; 

-43-) th e rul e numb e r and titl e of th e rul e or r e quir e 

mcnts for which waiver is boing sought; 

-f4) a statem e nt of facts showing: 

(A) — r e ason for. and th e natur e and extent of, th e 

r e qu e st; and 

fB) — that tho hoalth, safety or welfare of clients will 

not bo threatened. 
-45} docum e ntation of ar e a board approval wh e n maintain e d — by — the — ag e ncy — legal — sp e cialist — ef- — the 



tho consequences of a failure to issuo tho doclar 
atory ruling. 

(o) Th e d e clarator)' ruling proo e os may oonsist of written 
submissions, h e arings or other proc e dur e s d ee med appropri 
ate by the Chairman of the Commission or de s ignee. — The 
Chairman or dosigneo may notify' per s ons who might bo 
aff e ot e d by tho issuance of tho d e clarator) 1 ruling of any 
opportunity that e xists to submit writt e n statem e nts or make 
oral presentations at a hearing. 

(d) A record of all declaratory ruling proceedings shall be 



r e qu e sts ar e from ar e a programs and oontraot 
agoncios of aroa programs, or documentation of 
governing body approval when requosts aro from 
privat e faciliti e s not contracting with ar e a pro 
grams. 
— (d) Prior to issuing a decision on tho waiver roquost, tho 
Diroctor of DFS — sheH — consult — with — the — Director — ©f 



DMH/MR/SAS and ohall be availabl e for publio insp e ction 
during regular business hours. — Tho record shall contain the 
following information: 

(4) th e p e t i tion requesting tho d e clarator) 1 ruling; 

a* 



-m- 



all of th e memoranda and writt e n submissions 



relating to the declarator)' ruling; 
-{3-) a recording or transcript of any hearing that is 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



443 



PROPOSED RULES 



held pursuant to tho petition for the declaratory 

ruling; and 
(4) the d e clarator)' — ruling or a stat e m e nt of th e 

reasons — for refusal — te — issue — the declaratory 

ruling. 
( e ) — Tho Commiooion may d e cline to ioou e a d e claratory 
ruling if it hao good cause to b e li e v e that th e ioouano e of a 
declaratory ruling would bo undesirable. — Good cause for 
declining to issue a declaratory ruling may include tho 
following instanc e s: 
(44 tho p e tition for tho declaratory ruling addrooGoo 

a situation or sot of facta similar to ono that was 

considered — during — this — rule making — process, 

unless th e p e titioner can — show a ohang e — m 

circumstances sufficient to warrant iosuano e of 

the declaratory ruling; or 
(24 tho facts contained in the petition reveal tho 

exist e nc e of a factual disput e , and a oont e ot e d 

oaso would b e more appropriat e , 
(f) The Commission shall issue the declaratory ruling or 
notify tho pet i tioner of its refusal to issue tho declaratory 
ruling and tho reasons for that refusal within 60 days of th e 
r e c e ipt of th e p e tition by th e Commiooion. 

Statutory Authority G.S. 122C-26; 143B-10; 143B-147; 
150B-17. 

.0218 CONTESTED CASES 

— (ft) — Appeals Procedure. 

(44 Exc e pt for contest e d oas e s r e garding summary 

susp e nsions which shall bo initiat e d in aooor 
dance with Rule .0215(d) of this Section, a 
licensee or an applicant for a license who has 
b ee n notifi e d by DFS of its int e nt to tak e ad 
vers e action on a lic e ns e or application — fef 
license may petition for a hearing prior to or 
after the issuance of tho final decision on tho 
adv e rs e action in accordanc e with G.S. 150B 3. 

(34 The p e tition shall b e fil e d with th e Offio e of 

Administrative Hearings within 60 days after 
rece i pt of the notification concerning tho adverse 
action. 

(4) in accordanc e with G.S. — 1A 1. Rul e ^(j)^- a 

copy of tho petition shall bo served on a regis 
tercd agent for service of process for the Depart 
m e nt. — A list of r e gist e r e d ag e nt s may b e ob 
tam e d from th e Qffio e of L e gislativ e and L e gal 
Affa i r s , Department of Human Resources, 325 
North Salisbury Street, Raleigh, North Carolina 
27611. 
(b) R e comm e nd e d D e cision. 

(+4 The administrative law judge in the Office of 

Admini s trative Hearings shall issue a rocom 
m e nd e d d e ci s ion on th e oont e ot e d cas e in aooor 
danc e with G.S. 150B 31. 

(24 Prior to tho issuing of the recommended doci 

s ion, tho Chairman of the Commission or mem 



bore designated by tho Chairman or any party to 
tho oonteoted oao e may submit writt e n arguments 
to th e administrativ e law judge. — A oopy of th e s e 
arguments shall bo included in tho official re 
cord. 
(o) — Final Dooioion. — Th e S e cr e tary ohall mak e the final 

ag e noy d e cision in cont e st e d oaoeo processed und e r thio Rul e 

in accordance with G.S. 150B 36. 

Statutory Authority G.S. 122C-24; 122C-26; 143B-147; 
150B-3; 150B, Article 3. 

.0219 DEEMED STATUS 

— (*) — If an inpati e nt poyohiatrio facility or inpati e nt oub 
otono e abuse treatm e nt facility is surv e yed and aooredit e d by 
tho Joint Commission for tho Accreditation of Healthcare 
Organizations, tho Commission dooms tho facility to bo in 
complianc e with applicabl e ruloo oodifi e d in 10 NCAC UK 
through HO with th e e xo e ption of th e following rules: — W 
NCAC 1 4 K .0101 through .0103; HK .0201 through 
.020 8 (a)(3); 1 4 K .0208(a)(5) through .0212; 1 4 K .0213(b) 
through .0219; MK .0311; 14K .0327; HK .0330 through 
.0332; HK .0312; UK .0355; UK .0401 through .0104 
and, for inpatient substanco abuse treatment services only, 
1 4 N .0103(c). 

(b) — Doomed otatue may b e provid e d only if tho faoility 
shall agr ee to provid e to DFS copi e s of th e following 
documents: 
(44 JCAHO — statement — of construction — and — fife 

prot e otion — (ao submitted to JCAHO by th e 

accr e dit e d faoility); 

(24 JCAHO reports and recommendations; 

(4) JCAHO focused aurvoy reports; 

(4) Aooredit e d faoility progress reports whioh hav e 

boon Gent to th e facility by JCAHO; and 
(54 Permission to participate in any regular survey 

conducted by tho JCAHO. 
(o) Any faoility lio e no e d und e r th e provi s ions of th e rul e s 
contain e d in 10 NCAC HK through HO shall, how e ver, 
continue to bo subject to inspection by tho Secretary. 

Statutory Authority G.S. I22C-22; 122C-26; 143B-147. 

SECTION .0300 - FACILITY AND PROGRAM 
MANAGEMENT 

.0301 GOVERNING BODY 

Tho governing body s hall establish policies, rules and a 
table of organization to guide relationships between itself 
and th e op e rator and staff. — Writt e n polioi e o r e garding 
authority and r e sponsibility shall b e r e quir e d. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0302 OPERATOR 

(a) — Tho governing body shall de s ignate in writing an 
operator to bo responsible for tho management of the 



444 



NORTH CAROLINA REGISTER 



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10:7 



PROPOSED RULES 



facility. — An individual shall not oorvo concurrently as tho 

operator of mor e than on e lioonood faoility e xoopt und e r the 

following oonditiono: 

(4-) tho facilities under tho management authority of 

tho operator shall only bo those which aro owned 
or loasod by tho oamo gov e rning body for whom 
tho operator in functioning ao a full tim e e m 
ployoo; and 

(3) when multiple facilities aro operated under tho 

managem e nt authority of a oinglo operator, all 
suoh faoilitioo shall b e within a 50 mil e radius of 
tho operator's primary work location. 

— (b) — A 2 4 hour facility licensed for more than six clients 

shall not b e included under th e shar e d manag e m e nt authority 

authorized in this Rul e . 
(c) Should tho position of tho operator become vacant, tho 

governing body shall notify DFS in writing of: 

(4^ tho name of th e temporary r e plac e m e nt within 

seven days of such vaoanoy; and 

Q) tho namo of tho permanent replacement within 

sovon days of such designation. 

Statutory Authority G.S. 122C-26; 143B-147 

.0303 DISCLOSURE OF CONVICTIONS 

All faoilitios shall r e quire that applicants for e mploym e nt 
disclos e any oonviotion of an offens e against th e law oth e r 

than a minor traffic violation. Any offonso and how 

recently tho applicant was convicted shall bo ovaiuatod by 
th e facility operator. — Th e d e cision regarding e mploym e nt 
shall b e bas e d upon th e off e ns e in r e lation to th e job for 
which tho applicant is applying. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0304 PROFESSIONAL STAFF QUALIFICATIONS 

Tho professional staff of a facility shall bo currently 
lio e ns e d. registered or o e rtifi e d, as appropriat e , in aooor 
dano e with applicable N.C. Stat e Laws and shall m ee t th e 
individual qualifications established by tho governing body 
of tho facility for each position. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0305 PERSONNEL RECORD 

A s e parat e p e rsonne l record shall be maintain e d on e ach 
individual e mploy e d indicating th e training, e xp e ri e nc e and 
other qualifications for the position, including verification of 
this information. — In cases where professional licensure, 
registration or c e rtification i s r e quir e d, annual dooum e nta 
tion shall b e includ e d in th e individual's p e rsonn e l r e oord. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0306 JOB DESCRIPTION 

Each employee 3hall be furnished a copy of hi s job 
de s cription. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0307 EMPLOYEE EDUCATION AND TRAINING 

— (*) Each facility shall provide or secure orientation 

programs and annual continuing education and training for 
employees to enhanc e th e ir comp e t e nci e s and knowledge 
ne e d e d to administ e r, manage and d e liv e r quality s e rvices, 
(b) — Each facility shall assure tho maintenance of an 
ongoing record of all education and training activities 
provided or s e cured for e mployee s . 

Statutory Authority G.S. 122C-26; 143B-147. 

,0308 ORGANIZATION OF POLICIES AND 
PROCEDURES 

Each facility shall maintain its policies and procedures at 
an accessible location in an indexed, organized mannor. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0309 CLD2NT FEE FOR SERVICE 

Th e gov e rning body shall d e v e lop written policies for 
oli e nt f ee ass e ssm e nt and ooll e otion praotioos. — Wh e n infants 
or toddlers with or at risk for atypical development or 
developmental delays aro served, fees shall not bo charged 
to th e par e nts for th e following services: 
fB ohild id e ntification and s cr ee ning; 



-(3) assessment; 

-Q) caso management; and 



admini s trative and coordinativ e activiti e s related 



to th e d e v e lopm e nt, r e vi e w and impl e m e ntation 
ef- — the — Individualized — Family — Service — Plan 
(IFSP), implementation of procedural safeguards 
and oth e r administrativ e activiti es r e lat e d — te 
s e rvices for this population. 

Statutory Authority G.S. 122C-26; 122C-146; 143B-147. 

.0310 INFORMATION FOR CLIENTS 

The facility shall make available information regarding 
rates, — services, — client — rights, — and — othor client specific 
polici e s and rul e s to e ach client, potential oli e nt and l e gally 
responsible person. 

Statutory Authority G.S. 122C-26; I22C-146; 143B-147. 

.0312 SCREENING 

(a) — Tho governing body shall develop and implomont 
written screening policie s establishing a systematic moons of 
d e t e rmining e ach individual's need for s e rvices. 

(b) Th e polici e s shall specify th e qualifications, bas e d on 
education and experience, — of per s ons — who — may — make 
screening determinations. 

(o) Wh e n possibl e and appropriat e , and with cli e nt 

oons e nt, — family m e mbers or oth e r p e rson s s ignificantly 
involved with the client shall bo encouraged to participate in 
tho screening of the client. 



10:7 



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July 3, 1995 



445 



PROPOSED RULES 



(d) Screening shall include tho following: 
(4-) an aosossmont of th e individual's presenting 

problem or need; 
f2-) an assessment of whether or not tho facility can 

provide scrviceo — to address — tho individual's 

noodo; and 
f3-) tho disposition, including r e f e rrals and reoom 

mendations. 

Statutory Authority G.S. 122C-26; 143B-147. 

0313 ADMISSION AND DISCHARGE 

The governing body shall develop and implomont written 
policies for each facility regarding tho following: 

— (4} crit e ria for admission; 

— f2} criteria for discharge, which, in 2 4 hour facilities, 

shall be consistent with G.S. 122C 61; and 
— f3-) ref e rrals and transf e rs. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0314 ASSESSMENT 

— fa-) — The governing body shall dev e lop and impl e m e nt 

written policies regarding admission assessments for clients 

in each facility. 

— fb-) — Each facility shall complet e an initial admission 

ass e ssm e nt for each client prior to th e delivery of treat 

mcnt/habilitation services. — The initial assessment shall 

include: 

(4-) th e pres e nting problem or reason for admission; 

(-2-) tho client's needs and strengths, — and wh e n 

appropriate, tho needs and strengths of family 
members who may contribute to tho services 
provid e d to th e cli e nt; 

f3-) a provisional or admitting diagnosis with an 

established diagnosis determined within 30 days 
of admission, except for clients admitted to a 
detoxification or oth e r 2*1 hour m e dioal program 
for any l e ngth of tim e , who shall hav e an e stab 
lished diagnosis upon admission; 

f4-) a description of current status including tho 

following, wh e n applicabl e : 

(-A-) — m e ntal status, including suicid e potential; 

fB-) — developmental condition or impairment; 

fG-) — substance use or abuse; 



f&) — l e gal status or circumstances; 

fE-) — m e dical condition; and 

fF-) — family and other support systems; 

f5-) a description of the client's condition from 

family or s ignificant oth e rs, wh e n availabl e ; and 
f6-) th e disposition, including r e f e rrals and r e oom 

mendations. 
— (e) — Data gathered during a screening or from other 
sourc e s within 30 days prior to admission may b e us e d to 
complet e th e ass e ssm e nt. 

(d) For a client expected to receive services for more than 
30 days, the admission assessment shall include tho follow 



ing within 30 days of admission: 

(4-) a oooial and family history; 

f2) a m e dioal history; and 

Q) when applicable, histories and assessments as 

follows: 

fA} — psyohiatrio, including pr e vious treatment; 

fft) — substance abus e , including pr e vious treatment; 

fG) — developmental, — including previous services 

received; 
fB) — e ducational: 



(-E) — auditory and visual; 

fF) — nutritional; and 

fG) — vocational. 

( e ) For all faoiliti e s s e rving infants and toddlors with or 

at risk for developm e ntal disabilities, delays or atypical 

development, oxcopt for respite, there shall bo: 

(4-) an assessment of levels of physical, (including 

vision and h e aring), communication, cognitive, 
social and e motional and adaptive skills d e v e lop 
mont, and tho requirements sot forth in 3 4 
C.F.R. Part 303.3 44 (a)(2); 

f2) a d e t e rmination of th e child's uniqu e str e ngths 

and needs in t e rms of those areas of d e velop 
mont and identification of services appropriate to 
moot those needs; 

f3) if r e qu e st e d by th e family, a determination of 

the resources, prioriti e s and concerns of tho 
family, and tho supports and services necessary 
to enhance tho family's capacity to moot tho 
d e v e lopm e ntal noods of thoir infant or toddl e r 

with or at risk for a disability. Th e fam 

ily focused and directed assessment shall bo 
based on information provided through a per 
sonal interview and incorporat e the family's 
d e scription of these resources, prioriti e s, and 
concerns in this area; 

(-4-) procedures developed and implemented to ensure 

participation by tho client's family or th e l e gally 
r e sponsibl e p e rson; 

(4) no single procedure usod as the solo criterion for 

determining a child's eligibility; 

f&) on integrated assessment proc e ss which involv e s 

at l e ast two p e rsons, e ach representing a diff e r 
ent discipline or profession, with the specific 
number and types of disciplines based on the 
partioular needs of th e child: 

fA) — Th e ass e ssm e nt shall includ e ourr e nt m e dical 



information provided by a physician, physi 
cian's assistant, or nurse practitioner; how 
e v e r, a physician, physician's assistant, or 
nurse practition e r is not r e quir e d as one of tho 
disciplines involved in tho assessment; and 
-fB) — Further information regarding the assessment 
may be found in th e document "Eligibility 
D e t e rmination for th e Infants Toddler Pro 
gram", published by the Department of Envi 
ronmont. Health, and Natural Resources; 



446 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



-&- 



an evaluation process baood on informod clinical 
opinion; 



development and implementation of the minor client's 
individual tr e atm e nt/ habilitation plan. 



-&- 



-em — aooooom e nt — proo e oo — oomplotod — within — 45 — (d) Th e parent, with oliont oonsont, or th e l e gally r e apon 



siblo person of an adult shall have the opportunity to 
participate in the development and implementation of the 



calendar days from the date of referral. — The 
referral shall bo initiated by a request for those 
oorvio e a mad e to any one of th e publio agonoioo adult olient'o individual tr e atm e nt/habilitation plan. 



participating — in tho PL 99 457 Interagency 

Agreement. The request shall become a referral 

when tho aroa program determines that all of tho 

following is availabl e : 

-(-At) — ouffioi e nt background information to e nabl e th e 

agency — receiving — the — referral — te — establish 

communication through a tolophono call or 

hom e visit; 

-fB) — reason for ref e rral, dat e of r e f e rral and ag e noy 



— (e) Clinioal — r e sponsibility — for th e d e velopment — and 

implementation of tho treatment/habilitation plan shall be 
designated. 

— (f) Initial — tr e atm e nt/habilitation — obj e ctiv e s — shall — be 

dooum e nt e d, if s e rvio e s ar e to be provid e d, prior to tho 
establishment and implementation of tho comprehensive 
treatment/habilitation plan. 



(g) — Exc e pt as provid e d in Paragraphs (h) through (j) of 
this Rul e , a compr e h e nsiv e plan shall bo developed and 
initiated within 30 days of admission for client s who are 
-(G) — child and family identifying information such expected to receive services from tho facility beyond 30 

days. Th e plan shall inolud e , as appropriate to th e cli e nt's 
n ee ds: 



or individual making referral; 



ao nam e s, child's birthdat e and primary physi 
cian; and 

(©) — summary of any pro existing child and family 

screening or assessment information; 

(9) a 45 oal e ndar day compl e tion requir e ment whioh 

may b e e xt e nded in e xc e ptional oiroumstano e s, 
such as, tho child's health assessment is boing 
complotod out of state, or family dosiros make it 
impossibl e to oompl e t e th e ass e ssm e nt within th e 
timo period. Th e op e oifio natur e and duration of 
those circumstances which provont completion 
within 45 days and tho attempts mado by tho 
provider to oompl e t e th e ass e ssm e nt shall b e 
dooum e nt e d and an interim IFSP shall b e d e v e l 
oped and implemented; and 

(40) tho child's family or legally responsible person 

shall bo fully inform e d of th e r e sults of th e 
ass e ssm e nt proc e ss. 
— (4) — Tho C.F.R. incorporated by roforonco in this Rule 
includes subsequent amendments and editions of tho rofor 
eno e d mat e rial. — A oopy of th e C.F.R. is available at no 
oost from th e Division of M e ntal H e alth, D e v e lopm e ntal 
D isabilities and Substance Abuso Services. 



Statutory Authority G.S. 122C-26; 130A-144; 130A-152; 
143B-147. 

.0315 TREATMENT/HABILITATION 

PLANNING AND DOCUMENTATION 

— (et) — Th e governing body s hall d e v e lop and impl e m e nt 

written policies regarding individual troatmont/habilitation 

plans and the qualifications of staff, based on education and 

e xp e ri e nc e , who will b e responsibl e for impl e m e ntation of 

suoh piano. 

— (b) A troatmont/habilitation plan shall bo basod upon an 

assessment of tho client's condition, a330ts and needs, and 

tho resourc e s to moot those needs, and shall b e d e v e lop e d in 

partn e rship with th e oli e nt. 

— ffr) — Tho parent or tho legally responsible per s on of a 

minor shall — havo tho opportunity to participate — in tho 



(4) documentation of tho established diagnosis; 

(3) timo specific, — measurable — goals — fo? — treat 

m e nt/habilitation; 

(3) g e n e ral strat e gi e s or proc e dur e s to b e und e rtak e n 

in order to moot goals and tho direct caro staff 
responsible for implementation; 

(4) timo specific m e asurabl e e ducation or treatment 

goals for family or significant oth e rs, if applioa 
bio; and 

(5) a schedule for timo specific planned reviews, 

which may b e s e t, in addition to those required 
in Paragraph (k) of thi s Rul e . 
— (h) For all facilitie s se rving infants and toddlers with or 
at risk for developmental disabilities, delays or atypical 
d e v e lopm e nt, e xc e pt for r e spit e : 

(4) th e r e s hall b e a habilitation plan whioh is re 

ferred to as the Individualized Family Service 
Plan (IFSP) which s hall include: 

(A) — a d e scription of th e ohild'o pr e sent h e alth 

status and l e v e ls of phy s ioal (including vision 
and hearing), communication, cognitive, social 
and emotional, and adaptive development; 

(-B) — with the concurr e nc e of th e family, a doscrip 

tion of th e r e sources, prioritios and conc e rns 
of tho family and tho supports and services 
necessary to enhance tho family's capacity to 
m e et tho dev e lopm e ntal n e eds of their infant 



and toddl e r with or at risk for a disability; 



-(€>- 



goals for tho child, and, if requested, goals for 

the child's family; 
-(&) — crit e ria and tim e frames to b e us e d to deter 

min e progr e ss towards goals; 
-(E) — planned habilitation procedure s related to tho 

goals; 
-(¥) — a s tat e m e nt of the specific e arly int e rvention 

se rvio es to b e provid e d to m ee t th e id e nt i fi e d 

child and family needs, tho initiation date s , 

frequency and method, duration, intensity and 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



447 



PROPOSED RULES 



location (including the most natural environ 
mont) of oorvio e d e liv e r)', and th e p e rsons or 
agonoioo responsibl e ; 

-fG) — the name of the service coordinator from the 
profession most immediately rolovant to the 
noodo of the child or family, and who is oth e r 
wise qualified to oarry out all applicabl e r e 
sponsibilitioo — fef — coordinating — w+th — other 
agencies and individuals the implementation of 
the IFSP; 

-fH-) — the piano for transition into oorvio e o whioh ar e 
the responsibility of the N.C. Department of 
Public Instruction, or other available services, 
when applicabl e ; 

— fi) — the payment arrang e m e nts — for th e opooifio 
services delineated in Subparagraph (h)(1)(F) 
of this Rule; 
a description of medioal and other oorvioeo 



-fl*- 



-&- 



■m 



■m 



needed by th e ohild, but whioh ar e not r e 
quired undor P.L. 99 157, and the strategies to 
be pursued to secure those services through 
public or private resourc e s. — The requir e m e nt 
regarding m e dioal o e rviooo do e s not apply to 
routine medical services, such as immunization 
and well baby care, — unless the child needs 
thos e oorviooo and they ar e not oth e rwis e 
available. 

The IFSP shall bo: 

— reviewed on at least a 3omi annual basis or 



mor e frequ e ntly upon th e family's requ e st; and 
revis e d ao appropriat e , but at l e ast annually. 



-@) The initial development and annual revision 

procoss for the IFSP for infants and toddlers 
shall includ e participation by: 

(A} — the par e nt or par e nts of the ohild; 

f&) — other family members, as requested by the 

parent; 

(G) — an advocate or person outsid e of the family if 

th e parent r e qu e sts that the person participat e ; 

(©) — the provider of the early intervention services; 

(E) — tho service coordinator designated — for the 

family, if diff e r e nt from th e provid e r of th e 
e arly interv e ntion o e rvio e s; and 

£F) — tho providor of tho assessment — service, — jf 

different from the provider of the early inter 

v e ntion s e rvic e s. 

Tho initial IFSP meeting and annual r e vi e ws 

shall be arranged and writton notico provided to 

families early enough to promote maximum 

opportuniti es for att e ndanc e . — Th e s e mi annual 

r e vi e w proc e ss shall includ e participation by 

persons identified in Subparagraphs (h)(3)(A) 

through (E) of this Rule. — If any of those assess 

ment and int e rv e ntion provider s are unabl e to 

att e nd one of th e d e v e lopm e nt or r e vi e w m ee t 

ings, arrangements may bo made for tho per 

son's involvement through other moans such as 



-W- 



participation in a telephone conforonco call, 
having a knowl e dg e abl e authoriz e d r e pr e s e nta 
tiv e att e nd th e meeting or making p e rtin e nt 
records available at tho mooting. — Such arrange 
monts must bo approved by all of tho partioi 
pants. 

■44) Th e IFSP for infants and toddl e rs shall be based 

upon tho results of tho assessment referenced in 
10 NCAC 1 4 K .0314(e) and upon information 
from any ongoing assessm e nt of th e child and 
family. — How e v e r, e arly int e rv e ntion o e rviooo 
may commence before completion of this assess 
mont if: 

(-A-) — par e ntal oono e nt is obtain e d; and 

(-B) — tho aoooosm e nt is oompl e t e d within th e 45 day 

time period referenced — m — 10 NCAC — MK 

.031 4 (e). 

-(&) In th e e v e nt that e xc e ptional circumstanc e s, suoh 

as ohild illn e ss, r e sid e no e chang e of family, or 
any other similar emergency, make it impossible 
to complete the assessment within tho 4 5 day 
time — p e riod — r e f e r e nc e d — in — \Q — NCAC — J4K 
.0314( e ), th e circumstanc e s shall b e dooum e nt e d 
and an interim IFSP developed with parent 
pormissio fh — The interim IFSP shall include: 
(-A-) — the nam e of th e o e rvio e coordinator who will 

b e r e sponsibl e for th e impl e m e ntation of th e 

IFSP and coordination with other agoncios and 

individuals; 

goals for th e ohild and family wh e n r e com 



-(B)- 



m e nd e d; 
-(€) — those — early — intervention — services 



-tfeat- 



noodod immediately; and 
-fB) — sugg e st e d activiti e s that may b e carri e d out by 



-&h 



-m- 



-m- 



-mh 



th e family m e mb e rs. 
Each facility or individual who has a direct role 
in tho provision of early intervention services 
sp e cifi e d in th e IFSP is r e sponsibl e for making 
a good faith e ffort to assist e aoh e ligibl e child in 
achieving the goals set forth in tho IFS. 
Tho IFSP shall bo developed svithin 4 5 days of 
referral for thos e childr e n d e t e rmin e d to b e 
e ligibl e . Th e r e f e rral shall b e as d e fin e d in 10 
NCAC 1 4 K .031 4 (o)(10). 

Tho contents of the IFSP s hall bo fully explained 
to th e par e nt s , and inform e d writt e n oono e nt 
from th e par e nts shall be obtain e d prior to th e 
provision of early intervention services described 
in the plan. — If the parents do not provide con 
s e nt with r e sp e ct to a particular e arly int e rv e n 
tion s e rvic e , — or withdraw oon oe nt aft e r fir s t 
providing it, that service shall not bo provided. 
The early intervention services for which paron 
tal consent io obtain e d mu s t b e provid e d. 
IFSP m ee tings shall b e conduct e d in s e ttings 
convenient to and in tho natural language of tho 
family. 



448 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



— (j) — Tho goals for a client who receives service s from 
faoiliri e o providing da)' aotivity or alt e rnativ e family living, 
halfway house, thorapoutio oamp or group homo oorviooo in 
which tho supervision and therapeutic intervention are 
limited to olooping time, homo living skills and loiauro time 
aotiviti e o, may be limited to lifo okill, oooial or r e cr e ational 
goalo. 

— (+) — The goals for a client who rocoivoo Borviooo from a 
community roopito facility may bo limited to tho special 
Heeds of tho oli e nt, inoluding m e dications to bo ad mini o 
torod, diotary oonoid e rationo and e xp e ctations r e garding 
othor oorviooo. 

(k) — A full review of each cliont' 9 troatmont/habilitation 
plan ohall bo oonduoted at loast annually by tho rooponoiblo 
profoooional in aooordano e with tho faoility'o quality aoour 
anoo plan, as determined by 10 NCAC HK .0319. Tho 
roviow ahall include: 



-(4) tho olient'o oontinuing need for oorvio e ; and 

-(3) a oontinuntion or updat e of th e olient'o tr e at 

mont/habilitation plan ao defined in Paragraph 

(g) of this Rule. 



-(4) tho facto relative to tho observed or suspected 

abus e of a oli e nt ohall bo dooumontod in tho 
s e rvio e r e oord inoluding reports mad e by tho 
individual client and actions taken by staff. 
Opinions related to tho abuoo or alleged abuso 
ohall not b e dooumontod in th e o e rvioo record; 

-(3) information relative to AIDS or related condi 

tions is disclosed only in aooordanoe with tho 
communicabl e dis e as e lawo ao specifi e d in G.S. 
130A H3. — Anonymouo t e nting of individuals 
for AIDS shall bo filed separately from client 
records and shall not bo filed in anyway which 
id e ntifi e s a sp e cific oli e nt. — If not oonduoted 
und e r anonymouo prooodur e o, wh e n a oliont is 
tooted by a facility for tho HIV antibody, tho 
written consent of tho oliont and tho tost results 
may b e incorporat e d into th e oli e nt'o reoord. 
Any oth e r kind of substantiated infonnati -ea 
relative to AIDS may bo placed in tho appropri 
ato client's record. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0317 CLIENT RECORDS 

(a) — Faoilitieo ohall maintain a oli e nt r e oord for e aoh 
individual admitted to tho faoility. 

(b) Each client record shall contain an identification face 
shoot which includes at least tho following identifying 
information: 

(4) oliont nam e (last, first, middle, maid e n); 

(3) client record number; 






client addroos; 
aloo known as; 



-&- 



data of birth; 



race, s e x and marital status; 



-f?) s ocial security numbor; 

-(&) hom e t e l e phon e numb e r; 



■m- 



work t e l e phon e numb e r; 



(10) name, address and telephone numbor of legally 



responsible person or next of kin; 

(44-) admission dat e ; and 

(43) disoharg e date. 

— fe} — Eaoh governing body shall develop and implement 

written policies regarding: 

(4^ th e p e rsons authoriz e d to dooumont in o e rvioo 

r e oords; 

(3) tho correct procedures to alter or correct record 

ing errors or inaccuracies; 

(3) th e docum e ntation and maint e nanc e of inform a- 
tion on inc i d e nt r e ports; 

(4) tho transportation of records; 

(5) tho aafoguard of records against loss, tampering, 

d e fao e m e nt, or us e by unauthoriz e d p e rsons; and 

(6) th e assuranc e of records aooossibility to autho 

rizod users at all times, 
(d) Each facility shall ensure that: 



Statutory Authority G.S. 122C-26; 143B-147. 

.0318 SERVICE COORDINATION 

(a) — Coordination shall b e maintain e d among all staff 
members oontributing to th e e valuation, — planning and 
troatmont/habilitation effort for each oliont. 
—(b) — Each facility utilizing shifts or relief staff shall 
d e v e lop m e ohaniomo to e nsure adequate oommunioation 
among otaff r e garding oliento. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0319 QUALITY ASSURANCE 

(a) — Eaoh governing body shall assure tho establishment 
and implementation of a written quality assurance plan 
whioh shall d e ooribe quality assuranc e aotiviti e o and how 
they will be oarriod out. — Quality aoourano e aotivitioo shall 
include tho following; 
(43 an objective and systematic system for monitor 

ing and e valuating th e quality and appropriate 

n e oo of oliont oaro; 
(3) a written plan of professional or clinical ouporvi 

sion describing such activities and how they 

ohall b e oarri e d out; 
(£) th e e stablishm e nt and implementation of pro 



gram evaluation activities; 



-(4) tho strategies for improving client caro; and 



(#) th e r e solution of id e ntifi e d probl e ms. 

(b) — For thos e facilities providing troatm e nt/habilitation, 

supervision of staff of a facility shall bo conducted as 

follows: 

(4) Eaoh olinioal otaff m e mb e r of a m e ntal h e alth 

faoility who is not a qualified mental hoalth 
professional shall rec e ive professional suporvi 
sion from a qualified mental hoalth professional. 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



449 



PROPOSED RULES 



(-2-) Each direct car e staff mombor of a montnl 

retardation facility who io not a qualifi e d d e v e l 
opmontal disabilities prof e ssional ohall b e sup e r 
vised by, or have access to tho professional 
supervision of. a qualified developmental disabil 
iti e s professional. — Such aoeoso shall be docu 
montod by a writt e n agr ee m e nt for consultation 
on issues rolatod to tho habilitativo process for 
persons with mental retardation or other dovcl 
opmontnl disabiliti e s. 

(3-) Each clinical staff m e mber of an alcoholism 

treatment facility who is not a qualified alcohol 
ism or substance abuse professional shall receive 
professional sup e rvision from a qualified aloo 
holism or substanc e abuse prof e ssional. 

f4j Each clinical staff member of a drug treatment 

facility who is not a qualified drug abuse or 
substance abus e professional shall r e c e iv e pro 
fessional sup e rvision from a qualifi e d drug abus e 
or substance abuse profess i onal. 

f§-> Each clinical staff member of a facility which 

provid e s both alcohol and drug abus e tr e atm e nt 
who is not a qualifi e d substanc e abus e prof e o 
sional shall bo supervised by a qualified sub 
stance abuse professional, 
(o) Privileging of professional staff of a facility shall b e 

conduct e d as follows: 

H-> Each facility shall implement written policies 

and procedures by which the qualifications of 
e ach prof e ssional are examin e d and a d e t e rmina - 
tion mad e a s to tr e atm e nt/habilitation privileg e s 
granted and s upervision needed. 

(-3-) Delineation — of privileges shall bo based on 

docum e nt e d — v e rification — ef- — the — individual's 
compet e nc e , training, e xp e ri e nc e and lic e nsur e , 
certification or registration. 

Statutory Authority G.S. 122C-26; 143B-47 

0320 INCIDENT REPORTING 

— (*) — Each governing body shall develop and imp l ement a 
writt e n policy for r e porting any incid e nt, unusual occurr e nc e 
or medication e rror r e garding cli e nts. 

— (b) Incident and unusual occurrence means any happening 
which is not consistent with the rout i ne operation of the 
facility or th e routin e car e of a cli e nt and that is lik e ly to 
l e ad to adverse effects upon a cli e nt. Incidents may includ e 
but arc not limited to accidents. 

Statutory Authority G.S. 122C-26: 143B-147. 

.0321 GROUPING OF CLIENTS 

Each facility shall have and implement a policy to ensure 
that each cli e nt is s e rv e d appropriat e ly in relation to ag e . 
d e v e lopm e ntal l e v e l, s e x. and natur e and se v e rity of clinical 
problems. 



Statutory Authority G.S. 122C-26; 143B-147. 

,0322 FIRE AND DISASTER PLAN 

A written fire and disaster plan for each facility shall be 
developed with tho assistance of appropriate experts in fire 
and saf e ty and shall bo approv e d by tho local fir e authority. 
The plan shall bo mad e availabl e to all staff and e vacuation 
procedures and routes shall bo posted in tho facility. — The 
plan shall include at least tho following: 
— (1) assignm e nts of p e rsonn e l to spocifio tasks and 

r e sponsibilities; 

(2) instructions on tho use of alarm systems and 

signals; 

(3) information on m e thods of fir e containm e nt; 

(1) a syst e m for notification of th e fire department 

and occupants of tho building; 

— (4} location of firo fighting equipment; evacuation 

proc e dur e s and rout e s; 

(6) proc e dur e s for prompt transf e r of cli e nts and 

r e cords to an appropriate facility; and 
— f?) other provisions as tho local situation dictates. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0323 FIRE DRILLS FOR 24-HOUR FACELriTES 

— (*) — Fir e and disast e r drills in a 2'1 hour facility shall be 
h e ld at l e ast quart e rly and shall eith e r b e r e p e at e d for oaoh 
shift or be conducted when personnel from all shifts aro 
prosont. — Drills shall bo conducted under conditions that 
simulat e fir e e m e rg e ncies in order to: 
(-B acquaint staff and cli e nts with a moans of e vacu 

ating buildings that will ensure orderly and 

controlled exit without panic; 
(-2-) e nsur e that all staff m e mb e rs on all shifts are 

train e d to p e rform assigned tasks; 
f3-) ensure that all staff members on all s hifts are 

familiar — with — the — operation — of fire fighting 

e quipm e nt in th e facility; and 
(-4^ provide docum e ntation of probl e ms that occurr e d 

during tho drill and what was done to correct 

the s e problems. 
(b) — R e sponsibility for th e planning and conducting of 
drills shall bo assigned to individuals who havo a demon 
stratod ability to oxoreiso leadership. 

— fe-) — In conducting drills, emphasis shall bo placed upon 
ord e rly evacuation rath e r than upon speed. 

(d) — Th e facility shall havo a polioy r e quiring that staff 
participate in firo drills. 

(o) Special provisions, such as fire chutes, shall be made 
for th e e vacuation of non ambulatory clients. 
— (-£) — Fir e alarm syst e ms, whore availabl e , shall b e us e d 
regularly in fire drills. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0324 EQUIPMENT AND FURNISHINGS 

AH — residential — facilities — s hall — equip — and — furni s h — the 



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bathroom, living room, don, kitchen and other areas of the 
faoility in ouoh a way as to provid e a comfortabl e and 
normalized living environm e nt. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0326 OUTDOOR ACTIVITY SPACE/EQUIPMENT 

(a) Faoilitioo that provide structured outdoor activities for 
clients shall provide space that is ouitablo for the ages and 
troatm e nt/habilitation needs of the oli e nto o e rv e d. 
—(b) — Outdoor e quipm e nt shall b e maintain e d in good 
repair, safe for use and shall bo ago appropriate. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0327 COMPLIANCE WITH CLIENTS' RIGHTS 
STATUTES 



research projects subject to the approval of the Faoility 
Dir e ctor. Individuals not dir e ctly associat e d with roooaroh 
projooto und e r consideration shall oomprioo a majority of the 
review board. The review board may bo established by the 
faoility conducting research activities or by another public 
or private agonoy, institution or organization. 

(b) Eaoh proposed roooaroh project shall be presented to 
a research review board as a written protocol oontaini Bg-the 
following information: 

(4) identification of proj e ot and inv e stigator; 

(3) abstraot, oontaining a short d e scription of the 

project; 

(3) statement of objectives and rationale; and 

(4) description of m e thodology, including inform ed 

oons e nt if n e o e ooary. 
—(e) — Prior to the initiation of each research project, a 
research review board shall! 



(a) — The gov e rning body shall d e v e lop and impl e m e nt 
additional policies and proc e dures necessary to ensure 
compliance with North Carolina General Statutes 122C 51 
through 122C 62, 122C 65, 122C 66 and 130A 1 4 3, in each 
of its faciliti e s. 

(b) — Th e gov e rning body shall d e v e lop and impl e m e nt 
policies and procedures that ensure compliance with client shall bo maintained and contain documentation that! 



— (4) oonduot an initial r e vi e w of th e projeot; 

— (3) stat e th e frequenoy with which it will r e vi e w tho 

project after it has boon initiated; an d 
— (3) hold a review prior to any major changes being 

mad e in r e s e aroh proc e dures. 
-(d) — Writt e n minut e s of e aoh roooaroh board's mooting 



rights requirements as specified in 10 NCAC HP, Q, R and 
S, Division publioation CLIENT RIGHTS IN COMMU 
NITY MENTAL HEALTH, DEVELOPMENTAL DIS 
ABILITIES AND SUBSTANCE ABUSE SERVICES, 
APSM 95 2 (01/01/91). 



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Statutory Authority G.S. 122C-51 through 
122C-65; 122C-66; 130A-143; 143B-147. 



122C-62; 



risks to subjects wore minimal and reasonable 
for the b e n e fits to b e aooruod; 

-(3) unn e c e ssary intrusion on subj e cts was elim i- 
nated; 

-(3) informed consent was appropriately provided 

for; and 

confidentiality of subjeots was prot e ct e d. 



-(44- 



.0328 CLIENT GRIEVANCE POLICY 

Th e gov e rning body shall dev e lop and implement a written 
client grievance policy which identifies procedures for 
review and disposition of cliont grievances. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0329 VOLUNTARY NON-COMPENSATED 
WORK 

Th e gov e rning body shall e stablish a polioy regarding 
voluntary non compensated work performed by tho client. 
This policy shall specify whether voluntary non compensated 
work is allow e d at th e faoility or wh e th e r it is prohibit e d by 
state or f e d e ral laws or by d e oioion of tho gov e rning body. 

Statutory Authority G.S. 122C-26; 122C-51; 143B-147. 

.0333 RESEARCH REVIEW BOARD 

(a) Each research activity of each facility which involves 
clients in research activities shall bo reviewed and approved 
by a rosoaroh revi e w board prior to th e initiation of tho 
researoh proj e ot. — Th e r e s e aroh review board is a group 
comprised of at least five members which has tho authority 
to approve, require modification, or disapprove proposed 



Statutory Authority G.S. 122C-26; 122C-52; 143B-147. 

.0334 SUBJECT PARTICD7ATION IN 
RESEARCH PROJECTS 

(a) Informed, written consent shall bo obtained from each 
oli e nt in a r e s e aroh proj e ot, or from th e legally r e sponsible 
p e rson, if th e oli e nt is a minor or incomp e t e nt adult, to 
include tho following: 



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documentation that tho cliont has boon informed 



of any potential dang e rs that may e xist and that 
h e und e rstands th e conditions of participation; 



(3) notice of tho client's right to terminate partioipa 

tion at any tim e without prejudioing th e treat 
m e nt h e is roooiving. 
(b) — A copy of tho dated, signed consent form shall bo 

kept on filo in tho cliont record by tho facility. 

Statutory Authority G.S. 122C-26; 122C-52; 143B-147. 

.0335 MEDICAL EMERGENCIES 

Th e gov e rning body shall d e velop and impl e ment a written 
plan to b e utilized in modioal e morgonoios involving oli e nto. 

Statutory Authority G.S. 122C-26; 143B-147. 



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.0336 EMERGENCY INFORMATION 

— Each facility shall maintain emerg e ncy information -fef 
each client which includes tho name, address and telephone 
number of the person to be contacted in case of sudden 
illn e ss or accident and tho name, address and t e l e phon e 
numb e r of th e client's pr e ferred physician. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0337 EMERGENCY CARE PERMISSION 

la) Each facility' shall secure a signed statement from the 
client or legally responsible person granting permission to 
B o ok e m e rgency car e from a hospital or physician. 

(b) Each facility s hall d e v e lop and impl e m e nt op e rating 
procedures which establish the time in which a signed 
statement shall be obtained. 

Statutory- Authority G.S. 122C-26; 143B-147. 



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ensuro that the public education requirements of 
the N.C. Departm e nt of Public Instruction are mot 
for each client: 

develop and implement written policies regarding 
transition of educational services between the load 
e ducation ag e ncy (LEA) and th e facility; and 
b e r e sponsible for coordinating each child's or 
adolescent's individual treatment plan with this 
individualized education program. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0343 RESPONSIBILITY FOR WATER SAFETY 

— Each facility which mak e s water activities availabl e shall 
assure that an individual holding a current c e rtificat e in life 
saving from a nationally r e cognized recreation program is 
on site and providing direct supervision of water activities. 

Statutory- Authority G.S. 122C-26; 143B-147. 



.0338 STAFF TRAINING FOR MEDICAL 
EMERGENCIES 

During hours of op e ration of e ach tr e atm o nt/habilitation 
facility, at least one staff member s hall be available who is 
trained in basic fir s t aid. cardio pulmonary 1 resuscitation, 
seizur e manag e m e nt, and th e Heimlich man e uv e r or oth e r 
approv e d R e d Cross first aid t e chniqu e s for relieving airway 
obstruction. 

Statutory Authority G.S. 122C-26: 143B-147. 

,0339 PHYSICIAN RESPONSIBLE FOR 

PROVISION OF MEDICAL SERVICES 

— A physician shall have r e sponsibility for th e provision of 
m e dical servic e s associat e d with th e m e ntal h e alth, mental 
retardation and substance abuse needs of clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0340 PRIVACY FOR PHYSICAL EXAMINATIONS 
/MEDICAL PROCEDURES 

— Wh e n physical e xamination s or m e dical proc e dur e s ar e 
p e rform e d. — including th e taking of a m e dical hi s tory or 
counseling about a medical concern, the e xamination ar e a 
shall afford privacy for the client. 



.0344 SPECIALIZED THERAPIES 

— M e dical car e . — physical th e rapy. — occupational — therapy. 
la nguag e and communication th e rapy, and nursing car e shall 
be provided by. or under the direct s upervision of. individu 
als licensed or registered to perform these activities. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0345 TESTING SERVICES 

— Psychological, developm e ntal, educational and int e lligence 
t e sting shall b e p e rform e d by staff or e valuators who ar e 
appropriately licen s ed, certified or trained to utilize the 
particular testing instrument being administered. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0346 LABORATORY POLICIES AND 
PROCEDURES 

Th e gov e rning body of e ach facility which ord e rs laborn 
tory tests shall develop a written policy which specifies the 
procedures to be followed including authorization for. and 
follow up of. th e s e t e sts. Th e policy shall sp e cify who shall 
b e ar th e financial r e sponsibility for th e se laboratory proo e 
duros and shall require compliance with G.S. 130 A 139 and 
130 A 1 4 8. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0341 FIRST AID SUPPLIES 

— Each facility s hall hav e access to fir s t aid s uppli es . 

Statutory Authority G.S. 122C-26; 143B-147. 

.0342 EDUCATIONAL REQUIREMENTS 
FOR CHILDREN/ADOLESCENTS 

— Except for community — respite services. — eeen — f a cility 
serving children and adole s cent s s hall: 



Statutory Authority G.S. 122C-26; 130A-139; 130A-148; 
143B-147 

.0347 LABORATORY APPROVAL 

— Th e gov e rning body shall assure that laboratory t e sts are 
performed. — by — a laboratory — that — i s either certified — by 
Medicare or licensed under the Clinical Laboratory Im 
prov e ment Amendm e nt s of 19 8 8 or accredited by th e Joint 
Commission on Accr e ditation of H e alth Car e Organizations 
or the College of American Pathologi s t s . 



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Statutory Authority G.S. 122C-26: 143B-147. 

.0348 DOCUMENTATION OF LABORATORY 
TESTS 

—fa) — Each facility shall document in tho oliont record the 

following — informati on — r e garding — eaek — laboratory — test 

adminiot e r e d: 

(4) name and date of any laboratory tost ordered; 



-f2) name of physician ordering teat; and 

-43-) dat e and tim e op e oimon obtain e d. 



(b) Tho oopy of th e r e port of laboratory t e st r e sults shall 
bo included in tho client record. 

(c) This Rule shall not apply to testing done anonymously 
for HIV inf e otion. 

Statutory Authority G.S. 122C-26; MSB- 147. 

.0350 DISPENSING OF MEDICATION 

—(s) — Modioation shall be disp e ns e d by a pharmacist or 

physician in a properly labeled container in accordance with 

state and federal law. — Nurse practitioners and physicians' 

assistants may disp e ns e medications in aooordano e with G.S. 

90 18.1. 90 18.2 and rul e s adopt e d by th e North Carolin a 

Board of Pharmacy and codified in 21 NCAC 4 6 .1700. 

However, methadone for take homo purposes may bo 

suppli e d to a bonafid e cli e nt of a m e thadon e tr e atm e nt 

sorvio e in a properly lab e l e d oontain e r by a r e gist e r e d nurs e 

employed by the service pursuant to tho requirements of 10 

NCAC 4 5G .0306; SUPPLYING OF METHADONE IN 

TREATMENT PROGRAMS BY RN. 

— fb) — Th e m e dication container shall prot e ct m e dication 

from light and moisture and shall bo in a child proof 

containor. 

— fe) — Th e m e dioation contain e r lab e l shall includ e th e 

following: 

f4-) client's name; 



-f3) date issued or refilled; 

-(3) dir e ctions for administration; 



-(4) m e dioation nam e and str e ngth (str e ngth optional 

-f5) name, address and telephone number of dispons 

ing sit e ; 
pr e scrib e r's nam e ; 



— m- 

f?) dispenser's or supplier's name; and 

(8) ancillary cautionary labeling (if appropriate). 

(d) Th e Rul e s whioh ar e adopt e d by r e ferenc e in this Rul e 
ar e adopted in accordanc e with th e provisions of G.S. 
150B 1 4 (c). 



Statutory Authority G.S. 90-18.1; 90-18.2; 90-68; 90-85.2; 
122C-26; 143B-147; 150B-14(c). 

.0351 PRESCRIPTION AND ADMINISTRATION 
OF MEDICATION 

— Wh e n e v e r a facility admini s t e r s m e dioation. documentation 

in tho oliont record shall include the following: 

— (4) individualized record of medication administered 



only by program staff, privileged in accordance 
with 10 NCAC HK .0319, inoluding rooord of 
dos e s administered; 

-f2-) writton approval of tho legally responsible person 

of a minor or an incompetent adult is roquirod 

b e for e administering ov e r th e oountor 

non pr e scription m e dioations; 

-(3) for minors socking treatment without parontal 

consent, a physician or other person authorized to 
presoribo l e g e nd drugs must approve tho use of 
ov e r th e count e r — non pr e scription — m e dications 
during tho time when tho minor is in tho care of 
tho facility; 

-(4) docum e ntation of m e dioation administration orroro 

and adv e rs e drug r e aotions. and immediate notifi 
cation of prescribing physician; and 

-(5) In addition, if tho modioation has been proscribed 

by a facility physioian: 
writton m e dication ord e rs signod by tho pro 
scribor; and 



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assessment by physician of cliont's drug therapy 
r e gim e n for appropriat e ness, at l e ast e very six 
months, — e xc e pt — m e thadon e . — whioh — shall — be 
reviewed with tho oliont every throo months. 



Statutory Authority G.S. 90-21.5; 
90-171.44; 122C-26; MSB- 147. 



90-171. 20(7), (8); 



.0352 STORAGE OF MEDICATION 

(a) In faciliti e s wh e r e m e dioation is administ e red by staff, 
all medication s hall b e stored as follows: 
(4) Medication shall bo stored under proper condi 

tions of sanitation, tomporaturo, light, moisturo 

and v e ntilation. 

M e dication shall b e stored in a s e cur e ly lock e d 



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cabinot except that this shall not apply to scr 

vices provided in private homes. 
(3) Only thos e p e rsons authoriz e d to pr e soribo or 

administ e r modioation shall hav e access to stor e d 

medication. 
(4) Medication for external use shall bo segregated 

from m e dioation for int e rnal us e . 
f5) Modioation stor e d in a r e frig e rator used for 

other purposes 3hall be kept in a separate. 

securely locked compartment. 
(6) Spac e for m e dication storag e shall b e of suffi 

ci e nt size to allow s e parate storag e of oach 

client's medication and to prevent overcrowding. 
— fb) — In facilities whoro clients self medicate, all clients 
shall r e c e iv e instructions on how to properly store medica 
tion and b e provid e d s e parat e spao e . whon appropriate, for 
tho storage of medication in a secure manner. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0353 DISPOSAL OF MEDICATION 

— Medications shall bo disposed of in tho following manner: 



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Controlled substances. — In consultation with tho 

faoility'o providing or consulting pharmacist, th e 

facility ohall adopt procedur e s for tho disposal of 

controlled — s ubstances consistent with state and 

federal laws. 

Non controlled s ubstanc e s (pr e scription m e dioa 

t i on): 

fa-) Any service delivery site disposing of pro s crip 

tion medieation shall do so in a manner that 
guards against diversion or accid e ntal ing e stion. 
Tho service deliv e ry sit e shall di s po se of said 
medication by incineration whenever available- 
Other acceptable — methods of disposal whore 
incin e ration is not available may includ e , but 
nood not bo limited to, th e following: 

ft-) — transfer of medication to a local pharmacy for 

de s truction; or 
ffi-) — flush into a s e w e r syst e m. 



-f£) the expected length of tho medication treatment; 

-f&) r e fill instructions; 



-(b)- 



A record of medication disposal shal l b e main 
tained. — Tho record shall include tho following 
— ft-) — client's name (if applicable); 
—fit) — nam e and str e ngth of m e dication; 
-fiff) — drugstor e nam e and proscription numb e r (if 
applicable); 
(iv) — quantity to be disposed; 



— fv) — method of disposal; 
(vi) — dat e of di s po s al; 



(vii) — signature of employee disposing of the modioa 

tion; and 
(viii) — signatur e of e mploye e witn e ssing th e disposal. 



Statutory Authority G.S. 122C-26; 21 C.F.R. 1307.21; 
143B-147. 

.0354 MEDICATION EDUCATION 

— fa-) — Each client to be started or maintained on prescription 
medication shall receive — individual or group education 
regarding pr e scrib e d m e dication. 

(b) — Th e physician or his designe e shall ass e ss e ach 
client s ability to self administer medication as well as other 
factors that may affect drug therapy. — In instances whore tho 
ability of tho client to und e rstand th e m e dication e ducation 
is questionabl e , a r e sponsibl e p e rson s hall b e provid e d with 
the opportunity to receive both written and oral instructions 
on behalf of the client. 

— (o) Th e pr es cribing phy s ician or oth e r p e rson approv e d by 
th e phy s ician s hall provide th e following written and oral 
information to the client or responsible per s on at a time 
deemed appropriate by the phy s ician: 
f4-) th e nam e , do s age r e gimen, — int e nd e d use and 

common side e ff e cts of th e m e dication; 
f2-) adverse reaction s or uncomfortable s ide effects 

that s hould prompt calling a physician; 
f^-) food, drugs or b e v e rag e s that should b e avoid e d 

or taken w i th m e dication; 
(4) afi — alternative — dosage — regimen — if a dose — is 



(4} th e proper place to stor e medication; and 

(-8) tho need to communicate and ooordinato with 

other physicians of tho eliont regarding proscrip 

tion m e dioations. 
— (d) Th e m e dication education ass e ssm e nt and information 
provided s hall be documented in tho client record. 

Statutory Authority G.S. 122C-26; 130A-361; 143B-147. 

.0355 COMPLIANCE WITH N.C. CONTROLLED 
SUBSTANCES ACT 

Each facility that maintains stocks of controll e d oubstanoos 
shall b e currently regist e r e d und e r th e North Carolina 
Controlled Substances Act and shall bo in compliance with 
Chapter 00 of tho North Carolina General Statutes Article 
§-, — North Carolina — Controll e d — Substanc e s — Aeh — adopt e d 
pursuant to G.S. 150B M(c). Th e s e rul e s ar e availabl e fr ee 
of charge from DMH/MR/SAS. 

Statutory Authority G.S. 90-101; 122C-26; 143B-147. 

0356 NUTRITION REQUKEMENTS 

— fa-) — Each facility which servos or makes available meals 

for clients shall: 

fH comply with th e r e commended Di e tary Allow 

anco of the Food and Nutrition Board of the 
National Academy of Sciences 9th rev. ed, 1980 
availabl e at a cost of six dollars ($6.00) from the 
Offic e of Publications, National Acad e my Pr e ss, 
2101 Constitution Avenue N.W., Washington, 
B.C. 20 4 1 8 ; and 

(-3-) provid e food in k e eping with gen e ral cultural. 

e thnic — and — lif e styl e patt e rns — of th e oli e nts 
3orvcd. 
(b) The material that is adopted by reforonco in this Rule 

is adopt e d — in accordanc e — with th e provisions of G.S. 

150B M(c). 

Statutory Authority G.S. 122C-26; 130A-361; 143B-147; 
150B-I4(c). 

.0357 MODIFIED DIETS 

— Each facility which s ervos or makes available meals for 
clients shall provid e modifi e d di e ts in accordanc e with a 
physician's pr e scription and with a m e nu patt e rn approv e d 
by a registered dietitian. 

Statutory Authority G.S. 122C-26; 130A-361; 143B-147. 

.0358 STAFFING FOR FOOD SERVICE 

— Each facility which serve s or makes available more than 
on e m e al daily shal l d e signat e tho s taff re s ponsibl e for 
procur e m e nt, preparation and se rving of m e als and for th e 
maintenance of equipment and sanitary work s pac e . 



missed; 



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Statutory Authority G.S. 122C-26; 143B-147. 

,0359 FOOD SERVICE EQUIPMENT AND 
SPACE 

Each facility which servos or makes available; moro than 
on e m e al daily ohall: 
— f4-) provid e equipm e nt and spac e to stor e food s e pa 

ratoly from other items; 

provide equipment and space to prepare and serve 

meal s including all modified di e t m e nu it e ms, and 
— &) designat e ar e as for dining which shall b e e quipp e d 

and arranged to meet the needs of the population 

served. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0360 VOLUNTEER SERVICES 

— In facilities wh e r e volunteer oervio e s ar e utiliz e d: 
(1) Th e obj e ctiv e s and soop e of the volunt ee r s e rvic e 



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shall bo clearly stated in writing. 

An orientation program shall bo conducted to 



familiarize volunte e rs with th e facility's goals and 
oorvioos and to prov i d e appropriat e clinical ori e n 
tation regarding the facility's clients. 



provi s ion of seat bolts shall not bo required for individuals 
b e ing transport e d in a bus for whioh th e manufacturing oodo 
do e s not r e comm e nd th e installation of s e at b e lts. 

(b) — When physically handicapped individuals are trans 
ported, the vehicle shall provide soeuro storage for adaptive 
e quipment. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0364 TRANSPORTATION OF MINORS 

— (*) — Each child six y e ars of ag e and undor shall b e 
transported in a child passenger restraint system (car safety 
seat or seat bolts) which met applicable federal standards 
wh e n th e equipm e nt was manufactured . — Childr e n throo 
y e ars of ag e and und e r shall b e transport e d in a car safety 

(b) When four or more preschool children aro transported 
in th e same vohiol e . at l e ast two adults shall b e pr e s e nt in 
th e v e hicl e . 

(c) — When two or moro preschool children who require 
special assistance whilo boarding or riding in a vehicle aro 
transport e d in the same v e hiol e . th e r e shall b e one adult, 
oth e r than th e driv e r, to assist in supervision of th e childr e n. 



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Tho work of volunteers shall bo supervised by Statutory Authority G.S. 122C-26; 143B-147. 

appropriat e staff of the faoility. 

All volunt ee rs shall b e instruct e d r e garding th e 

requirements for maintaining confidentiality. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0361 TRANSPORTATION POLICY 

The govorning body of each facility providing transporta 
tion for oli e nts shall d e v e lop and impl e m e nt a writt e n 
transportation polioy whioh shall address at least the follow 
«gf 

(1) eligibility of clients for transportation services; 

(2) th e m e ans by whioh th e faoility shall provid e 

transportation; 

(3) procedures to be employed in emergency 



s itua 



-(4)- 



-($- 



tion s occurring during the transportation of clients; 
qualifications and training of vehiol e driv e rs and 
aides; and 
foos, i f any, for transportation. 



Statutory Authority G.S. 122C-112; 122C-146; 143B-147. 

.0362 LICENSED DRIVER 

— Each driver providing transportation for clients shall hold 
a curr e nt licens e to operat e th e typ e of v e hiol e to whioh ho 
is assign e d. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0363 SAFETY PRECAUTIONS 

— (*) — A seat and a seat belt shall bo provided for oaoh 
individual being transported in a vehicle except that the 



.0365 DWI SUBSTANCE ABUSE ASSESSMENTS 

(a) Any facility licensed as an alcoholism and substance 
abuse treatment facility in accordance with the requirements 
of 10 NCAC HN .0100 through .0500 and UN .0700, may 
provide DWI assessments. 

(b) — If the facility provides DWI assessments, it shall 
follow tho rulos sot forth in 10 NCAC 1 8 F .0312 through 
.0323. 



Statutory Authority G.S. 20-179(m); 122C-26; 143B-14. 
SECTION .0400 - PHYSICAL PLANT 

.0401 CURRENTLY LICENSED FACILITIES 

— Facilities subject to licensure under G.S. 122C, Article 2 
whioh ar e l e gally op e rating und e r a ourrent lic e ns e i ssu e d by 
DFS upon th e e ff e otivo dat e of this Rule shall b e in oompli 
anc e with all applicable portions of tho North Carolina Stato 
Building Code in effect at tho time tho facility was con 

structed or last r e novat e d. How e v e r, — if alt e rations or 

additions ar e mad e to a facility, such alt e ration s or additions 
shall bo made in compliance with the provisions of Rules 
.0 4 02 and .0 103 of this Section. 

Statutory Authority G.S. 122C-26; 143B-147. 



.0402 FACILITY CONSTRUCTION/ 
ALTERATIONS/ ADDmONS 

— (a) When construction or use of a now facility is planned 
or when alterations or additions are planned for an existing 



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PROPOSED RULES 



facility, work ghall begin only aftor consultation with tho 
DFS Construction Section, th e local building official having 
juriodiction, and tho looal firo offioial having juriodiotion. 
— fb) All required permits and approvals shall bo obtained 
from tho governing authorities having jurisdiction. 

(o) Eaoh facility shall bo responsibl e for oomplianoe with 
tho Amorioano with Disabilities Act. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0403 COMPLIANCE WITH BUILDING 
CODE REQUIREMENTS 

(a) As used in this Rule tho term "now facility" refers to 
any facility whioh has not boon lioonood pr e viously as a 
mental health faoility, and for whioh an initial licens e und e r 
G.S. 122C, Article 2 is being sought. 
— fb} — In order to obtain a license to oporato, each now 
faoility shall bo in oompliano e with tho ourr e nt North 
Carolina State Building Cod e as applicabl e to th e sp e cific 
service typo and facility typo, at time of issuance of lioonso. 
Tho North Carolina Stato Building Code is incorporated by 
rof e r e no e — te — includ e — any — subs e qu e nt — am e ndm e nts — and 
editions of tho r e f e ronood mat e rial. — Copi e s of th e s e Build 
ing Code Volumes may bo purchased from the Department 
of Insurance Engineering Division located at 4 10 N. Boylan 
Avenu e . Ral e igh. N.C. 27603. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0404 LOCATION OF FACILITY 

— fa} — Each facility shall bo located on a sito whore: 

(4} firo protection is available: 

f2} wator supply and sewage and solid waste dis 

posal s e rvic e s havo boon approv e d by th e looal 

health d e partm e nt; 
f3-} occupants are not exposed to undue hazards and 

pollutants; and 

f4-) looal ordinanc e s and zoning laws ar e m e t. 

— fb} — The sit e at whioh a 21 hour faoility is looat e d shall 
havo sufficient outdoor area to permit clients to exorcise 
their right to outdoor activity — in accordance — with tho 
provisions of G.S. 122C 62. 

(c) — Eaoh n e w r e sid e ntial faoility shall b e looated in a 
residential sotting. — Proximity to schools, shopping sites and 
rocroational — sites — shall — bo considered — in selecting — the 
location. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0406 MAINTENANCE OF FACILnTES 
AND GROUNDS 

— Each facility and its grounds shall bo maintained in a safe, 
c le an, attractiv e and orderly manner and shall b e kept froo 
from off e nsive odor. — Buildings shall b e k e pt fr ee from 
insects and rodents. 

Statutory Authority G.S. 122C-26; 143B-147. 

0407 SAFETY PRECAUTIONS/ 
REQUIREMENTS 

—fa} — Eaoh faoility shall hav e and implem e nt sp e oifio 
polici e s whioh address usag e , maint e nanc e , sup e rvision of, 
and safety precautions for, special client activity areas. 

(b) — Each faoility shall bo designed, constructed and 
e quipp e d in a mann e r that e nsures th e physioal saf e ty of 
oli e nts, staff and visitors. 

(c) — Each facility shall bo kept free of hazards such a s 
warped or damaged floors or floor coverings, cracked 
plast e r, brok e n windows, damaged or worn stair treads or 
loose handrails. 

(d) All hallways, doorways, entrances, ramps, stops and 
corridors shall bo kept clear and unobstructed at all times. 

( e ) All mattress e s purohao e d for existing or n e w faoilitios 
shall b e fir e rotardant. 

— ff) — Electrical, mechanical and water systems shall bo 
maintained in operating condition. 

(g) Exc e pt for th e rap e utic (habilitativ e ) oamps and othor 
21 hour faciliti e s for five or fewor oli e nts, in oaoh 21 hour 
facility heating and air cooling equipment shall bo provided 
to maintain a comfort range botwoon 68 and 80 degrees 
Fahrenh e it. — Faoiliti e s lic e ns e d prior to th e e ff e otiv e date of 
this Rul e shall not b e r e quir e d to add or install oooling 
equipment if not alroady installed. — Facilities applying for 
initial licensure on or after tho effective date of this Rule 
shall comply with th e s e oomfort range requir e m e nts as a 
oondition of lic e nsur e . 

(h) All indoor areas to whioh clients have routine access 
shall be well lighted. — Lighting shall bo adequate to permit 
ooouponts to comfortably e ngag e in normal and appropriat e 
daily activiti e s cuoh as reading, writing, working, sowing 
and grooming. 

Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; 122C-62; 143B-147. 

0405 FACILITY DESIGN AND EQUIPMENT 

(a) Each faoility shall b e plann e d and e quipp e d to provid e 
tho services offered, or to be offered, to clients in tho 
facility. 

(b) — Faoiliti e s shall b e d e sign e d and construct e d in a 
mann e r that will provid e cli e nts privacy whil e bathing, 
dressing or using toilet facilities. 



.0408 INDOOR LIVING SPACE: RESIDENTIAL/ 
24-HOUR RESPITE FACILrTIES 

M e ntal h e alth, m e ntal retardation or oth e r developmental 
disabiliti e s or substanc e abus e faoilities lioonsod prior to 
10/01/8 8 shall satisfy tho minimum square footage require 
monts in effect at the timo of the facility's initial licensure. 
R e sid e ntial faoiliti e s lio e noed oinoe that date, e xo e pt for 
R e sid e ntial Th e rap e utic (Habilitative) Camps for Children 
and Adolescents which shall meet tho requirements specified 
in 10 NCAC 1 4 Q .0302, shall moot tho following indoor 



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PROPOSED RULES 



space requirements: 

(1) Cliont b e drooms ohall hav e at l e ast 100 squar e f ee t 

for oinglo oooupanoy and 80 oquare feot p e r oli e nt 
whon moro than ono cliont occupies the bedroom. 

(2) Whoro bassinets and portable cribs for infants aro 

us e d, a minimum of 10 oqunro f ee t p e r baosin e t or 
portable orib ohall b e provid e d. 

(3) No moro than two clionta may share an individual 

bedroom regardless of bedroom size, except for 
Sp e cialized Community R e sid e ntial C e nt e ro for 
Individuals with M e ntal — R e tardation — or oth e r 
Developmental Disabilities which shall moot the 
requirements specified in 10 NCAC 1 4 M .0101. 

(i\) In faoilitioo with overnight aooommodationo for 

persons other than oli e nto, with th e e xo e ption of 

therapeutic homos for children and adolescents, 

such accommodations shall bo separate from client 

bedrooms. 

No oli e nt shall bo permitted to sloop in an unfin 

ishod basomont or in an attic. 



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.0101 SCOPE 

— (a) Inpatient psychiatric facility is an inpationt service for 
th e m e ntally ill which provides int e n s iv e 24 hour per day 
tr e atm e nt in a hospital s e tting. — Supportiv e nursing and 
medical — care aro provided under the supervision of a 
psychiatrist. This facility is designed to provide continuous 
tr e atm e nt for individuals with aout e psyohiatrio problomo. 
S e rvio e s may inolud e psyohologioal and medioal diagnostic 
procedures: — observation; — treatment — modalities — including 
medication, psychotherapy, — group therapy, occupational 
th e rapy , — industrial — th e rapy, — vocational — r e habilitation, 
rooroation thorapy and milieu treatm e nt; m e dioal oar e and 
treatment as noodod; supportive services including cduca 
tion; and room and board. — Inpationt psychiatric facility is 
th e most int e nsiv e and r e strictiv e typ e of facility for men 
tally ill individuals. 

— (b) Tho facility shall bo designed to servo individual s who 
require continuous treatment for mental illnoss. — Individuals 
who, in addition to mental illn ess , have oth e r disord e rs, 
ouoh as m e ntal r e tardation or oubstano e abuse, shall bo 



fef 



In a residential facility licensed under residential oligiblo for admission if primarily in need of treatment 

montal illnoss. 

(o) — Th e Rul e s in this S e ction apply to fr e e standing 
psyohiatrio hospitals lic e nsed und e r G.S. 122C, Articl e 2. 



building oodo standards and without elevators, 
bodrooms abov e or bolow th e ground l e v e l ohall 
bo used only for individuals who aro capable of 
moving up and down tho stops independently. 

-f?) Minimum furnishings for oli e nt b e droomo ohall 

inolude a s e parat e b e d. b e dding, pillow, b e dsid e 
tablo, and storage for personal belongings for each 
cliont. 

48) Only oli e nts of tho oamo sex may shar e a b e droom 

oxoopt for ohildr e n ag e oix or b e low and for 
married couples. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0102 HOURS OF OPERATION 

Each facility providing inpationt psychiatric services shall 
operate 2 4 hours per day. seven days por week, 12 months 
p e r y e ar. 



Children and adolescents shall not share a bod Statutory Authority G.S. 122C-26; 143B-147. 



room with an adult. 
(10) At l e ust ono full bathroom for e ach fiv e or f e w e r 

persons including staff of tho facility and their 

family shall bo included in each facility. 
(1 1) Eaoh faoility, e xoept for a privat e hom e provid e r. psychiatric social worker and psychiatric nurse. 



.0103 STAFF REQUIRED 

— (a) Staff oov e rage shall inolud e at l e aot on e of e aoh of th e 
following: psychiatrist, licensed practicing psychologist. 



shall hav e a reo e ption aroa for olionts and visitors 
and private spaco for interviews and conferences 
with clients. 

(12) Th e living room, den, kitohen and dining spao e 

ohall b e available to moot tho olionts' noods. 



— fb-) — Physioian oov e rage and th e se rvic e o of a qualifi e d 
mental h e alth profoooional ohall b e r e adily availabl e by 
telophono or page and able to reach tho facility within 30 
minutes on a 2 4 hour per day basis. 



(13) Each faoility shall havo indoor spaco for group Statutory Authority G.S. 122C-26; 143B-147 



activities and social gatherings. 

— (44) Th e ar e a in which thorapeutio and habilitativo 

activiti e s ar e routin e ly oonduot e d ohall b e o e parat e 
from sleeping areas. 

Statutory Authority G.S. 122C-26; 143B-147. 

SUBCHAPTER 14L - LICENSURE RULES FOR 
MENTAL HEALTH FACILITIES 

SECTION .0100 - INPATIENT PSYCHIATRIC 

FACILITIES FOR INDIVIDUALS WHO 

ARE MENTALLY ILL 



.0104 PROFESSIONAL STAFF ORGANIZATION 

— (a) Th e r e ohall b e an organiz e d prof e ooional staff that ha s 
ov e rall r e sponsibility for th e quality of oar e provided. 

(b) Thoro shall be professional staff by laws that require, 
unless otherwise provided by law, that a licensed physician 
b e r e sponsibl e for diagnosis and all medical oar o and 



treatment. 

— (o) Tho professional staff by laws shall establish a process 

for delineation and reappraisal of clinical privileges. 

(d) — The professional staff by laws ohall describ e th e 
sp e oifio rol e of e aoh disciplin e repro oo nt e d on th e profe s 
s i onal staff or exorcising clinical privileges. 



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PROPOSED RULES 



(e) The professional by laws shall specify moehani3mo for 
the r e gular r e view, e valuation and monitoring of profoo 
sional staff practic e s. 

Statutory Authority G.S. 122C-26: 143B-147. 

.0105 PLAN FOR SERVICES AND 
STAFF COMPOSmON 

(a) Each facility shall have a written plan which clearly 
delin e ates th e numbers and qualifications of its p e rsonn e l as 
determined by at least th e following: 

(44 size of the facility; 

(3) characteristics of the client population, such as 

whether children, adol e sc e nts, adults, e ld e rly; 
f34 olinioal charact e ristics of th e cli e nt population; 

f4-) fundamental needs of the clients. 

(b) The facility shall have a suffici e nt numb e r of appro 
pnat e lv qualifi e d clinical, administrativ e and support staff to 
assess and address the clinical needs of clients. 

(c) Staff members shall have training or experience in the 
provision of car e to m e ntally ill individuals in each of the 
age cat e gories acc e pt e d — for treatment, — such as child, 
adolescent, adult, elderly. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0106 STAFF DEVELOPMENT 

Ongoing professional education shall be provided to keep 
the professional staff inform e d of significant clinical and 
administrativ e developm e nts. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0200 - RESIDENTIAL ACUTE 
TREATMENT FOR ADULT AND ELDERLY 
INDIVIDUALS WHO ARE MENTALLY ILL 



.0203 STAFF REQUIRED 

(a) — Staff sup e rvision shall bo provid e d by a qualifi e d 
mental health prof e ssional. 

— (b) Staff with training and experience in the provision of 
care to acutely mentally ill persons shall bo present at all 
tim e s. 

— f&} — A physioian shall b e on oall on a 2A hour p e r day 
basis. The physician on call shall bo a psychiatrist unless a 
psychiatrist is unavailable or for other good cause cannot be 
obtain e d. — If th e physician is not a psyohiatrist, tho physioian 
shall b e privil e ged to participat e in diagnosis, troatmont 
planning and admission and discharge docisions. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0300 - PARTIAL HOSPITALIZATION 

FOR INDIVIDUALS WHO ARE 

ACUTELY MENTALLY ILL 

0301 SCOPE 

(a) A partial hospitalization facility is a day/night facility 
which provid e s a broad rang e of int e nsiv e and th e rap e utio 
approach e s which may includ e group therapy, individual 
therapy, occupational, activity and recreational therapies, 
training in community living and specific coping skills, and 
medical services as needed primarily for aout e ly m e ntally ill 
individuals. — This facility ' may b e d e sign e d to pr e v e nt 
hospitalization or to servo as an interim step for those 
leaving a regional hospital. — It may also bo designed to 
increase tho individual's ability to relate to oth e rs and 
function appropriately. — This facility provides a medical 
component in a loss restrictive setting than a hospital or a 
residential treatment or rehabilitation facility. 
— fb-) — Rul e s contain e d in this S e ction apply to all partial 
hospitalization faciliti e s with th e e xc e ption of Rules .0308 
through .0310 of this Section which apply only to facilities 
serving minors. 



.0201 SCOPE 

— fa-) — A residential acute treatment facility for adult and 
clderlv individuals who are mentally ill is a residential 
facility which provid e s psychiatric car e and tr e atm e nt on a 
21 hour basis in a nonhospital s e tting for individuals in 
crisis who need short term intensive evaluation, or treatment 
intervention or behavioral management to stabilize acute or 
cri s i s s ituations. 

— (b) This facility is designed as a tim e limited alternative 
to hospitalization for an individual in cnsis. 

Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0302 HOURS OF OPERATION 

Each partial hospitalization facility shall op e rat e for a 
minimum of four hours p e r day ( e xolusivo of transportation 
time), five days per week, 12 months per year. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0303 PROVISION FOR CLASSROOM SPACE 

Each facility offering on site educational programming 
shall hav e d e signat e d space for classroom activities. 



.0202 HOURS OF OPERATION 

Services shall be provided 2 4 hour s per day. seven days 
p e r w ee k, 12 months p e r y e ar. 

Statutory- Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0304 STAFF REQUIRED: ADULTS AND MINORS 

(a) Staff shall includ e at least one qualified m e ntal health 
professional, 
(b) — Each facility serving minors shall have a program 



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PROPOSED RULES 



director who hag a minimum of two yoara' oxporionoo in 
child — or adol e eo e nt — o e rvio e o — and who hao e duontional 
preparation — in administration, — education, — sooial — work, 
nursing, psychology or a related field. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0305 CLIENT/STAFF RATIO: MINORS 

—fa-) — A minimum of two staff mombors shall bo present 

w i th minor cli e nts at all timoo and a minimum ratio of one 

staff memb e r to eaoh e ight or f e wer minor oli e nts shall b e 

maintained. 

— fb) — In the event that only one minor client is in the 

faoility, only on e staff memb e r is r e quir e d to b e pr e s e nt. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0306 ROLE OF PHYSICIAN 

— A physioion — shall — participat e in diagnosis, — tr e atm e nt 
planning, and admission and discharge decisions. — Bus 
physician shall bo a psychiatrist unless a p s ychiatrist is 
unavailable or for oth e r good caus e cannot b e obtain e d. — U 
the physician is not a psyohiatnst, th e physioian s hall b e 
privileged to participate in diagnosis, treatment planning and 
admission and discharge decisions. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0307 GROUP THERAPY 

Group therapy shall b e provid e d in e ach program by a 
qualifi e d m e ntal hoalth prof e ssional. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0308 TRAPPING OF STAFF: FACILITIES SERVTNG 
MINORS 

— (*) — Each faoility serving minor s s hall provide or secure 
pro servic e training for all staff. 

(b) Eaoh dir e ct car e s taff assign e d to th e faoility shall b e 
trained to manage tho client s individually and a s a group. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0310 SCHEDULE OF DAILY ACTIVITIES: 

FAcrLrriES serving minors 

Each faoility se rving minors shall hav e a writt e n sch e dul e 
of daily activiti e s post e d in a plac e acc e ssible to pati e nts and 

Stftffr 



which provides skill development activities, educational 
s e rvices, — a«d — pr e vooational — training — and — transitional 

e mploym e nt — s e rvic e s — to individuals. Eaoh — faoility — is 

proforably organized around a soparato and distinct commu 
nity based faoility. Services are designed primarily to serve 
individual s who hav e impair e d rol e functioning that ad 
v e rs e ly aff e cts at l e a s t two of th e following: e mployment, 
management of financial affairs, ability to procure needed 
public s upport services, appropriateness of social behavior, 
or aotiviti e s of daily living. — Assistanc e i s al s o provid e d to 
m e mb e rs in organizing and d e veloping th e ir str e ngths and in 
establishing poor groups and community relationships. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0402 HOURS OF OPERATION 

Each facility shall operate for a minimum of five hours 
p e r day, fiv e days p e r w ee k, ( e xclusiv e of transportation 
tim e ), 12 months p e r y e ar. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0403 STAFF REQUIRED 

— (a) Each faoility shall have a designated program director. 
— {&) — A minimum of one s taff mombor to each eight or 
f e w e r oli e nts in av e rag e att e ndance shal l be mni f^kHBed^ 

Statutory Authority G.S. 122C-26; 143B-147. 

,0404 SKILLS DEVELOPMENT 

— Eaoh faoility sha l l provid e skills d e v e lopm e nt aotiviti e s 

which include: 

— f4-) community living, such a s hou s ekeeping, shop 

ping, oooking, us e of transportation faoilitios. 

mon e y manag e m e nt: 
(2) porsonal care s uch as health care, — medication 

management, grooming; 

— (3} social r e lationships: and 

— (-4) use of lei s ur e tim e . 

Statutory Authority G.S. 122C-26; I43B-147. 

.0405 EDUCATIONAL SERVICES 

(a) Each facility s hall a s sist the client in securing needed 
education s ervices such as adult ba s ic education and special 
int e rest courses. 

(b) Eaoh facility off e ring on site educational programming 
s haii have designated s pace for cla ss room activities. 



Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authorin' G.S. 122C-26; 143B-147. 



SECTION .0400 - PSYCHOSOCIAL 
REHABILITATION FACILITIES FOR INDIVIDUALS 
WHO ARE CHRONICALLY MENTALLY ILL 

.0401 SCOPE 

A psychosocial rehabilitation faoility is a day/night facility 



.0406 PREVOCATIONAL SERVICES 

— Each faoility shall provide or secure provocational services 
which foous on the d e velopm e nt of positive work habits and 
participation in work aotivities. 

Statutory Authority G.S. 122C-26; 143B-147. 



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PROPOSED RULES 



.0407 EMPLOYMENT SERVICES 

— &) — Each faoility ohall provide or o e ouro through th e 
Division of Vocational Rohabilitation Services trongitional or 
supported omploymont services to facilitate client entry into 
comp e titive employm e nt. — Full uoo shall b e made of e xioting 
community resources to aooomplioh thin including applying 
for funds available from Division of Vocational Rehabilita 
tion Services. 

— (b) Wh e n support e d e mployment o e rvio e s are provid e d by 
the faoility. th e following r e qu i rements shall b e m e t: 

(-H Each client shall be one for whom competitive 

employment has not traditionally occurred or has 
boon int e rrupted or intermittent ao a r e oult of 
sev e r e m e ntal illness. 

(3) Support e d — employment — may — be — provided 

through: 

fA} — work stations for a group of oight or f e w e r 

work e rs train e d and supervis e d in an industry 
or business; 

(ft) — job coaching and supervision of individuals in 

an industry or busin e s s : 

(-G) — mobil e cr e w s e rvioo jobs by a group of e ight 

or fewer workers in the community under the 
training and supervision of a crow loador: and 

(©) — small business e nterprises operated with e ight 

or f e w e r workers with training and sup e rvision 
provided on site, 
(c) When transitional omploymont services are provided 
by the facility, the following r e quirem e nts shall bo m e t: 

(-J-) Ther e ohall b e a oontraot b e tw ee n th e faoility 

and employer for a specific job and the job shall 
first be performed by a facility staff member to 
determin e th e t e chnical requirements of the job. 

(2-) Th e s e l e ction of a oliont to fill a plao e m e nt is the 

responsibility of the facility and the individual 
client. 
— fd-) — Wag e s ohall b e paid in accordanc e with th e Fair 
Labor Standards Aot for all oli e nte r e ceiving support e d 
employment and transitional employment services. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0600 - RESIDENTIAL TREATMENT 

FOR CHILDREN AND ADOLESCENTS 

WHO ARE MENTALLY ILL 

.0601 SCOPE 

(a) — A residential — treatment — facility — for children and 
adolescent s is a faoility which provid e s a structur e d living 
e nvironm e nt for children and adol e sc e nts who ar e primarily 
mentally ill and who may also be multi handicapped and for 
whom removal from homo is essential to facilitate treatment. 
S e rvic e s ar e d e sign e d to addr e ss th e functioning level of the 
child or ado l esc e nt and includ e s training in languag e or 
communication skills, social relationships, and recreational 
skills. — Some children or adolescents may be able to receive 



services in a day treatment facility, have a job placement, or 
attend public schools; for others, op e oial e duoation oerviooo 
may need to b e off e r e d within th e r e sid e ntial Getting. 
Different — lovols — of residential — treatment — programs — we 
provided to moot the individual needs of the children and 
adol e sc e nts plao e d in th e faoility. 

(b) If the adoloooont has his 1 8 th birthday whil e rec e iving 
treatment in a residential facility, ho may continue in the 
facility for six months or until the end of tho state fiscal 
y e ar, which e v e r is longer. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0602 CAPACITY 

— (*) — Each faoility shall serve no mor e than a total of 12 

children and adolescents, except as sot forth in Paragraphs 

(b) and (c) of this Rule. 

— &) — Any faoility curr e ntly lioonsod as a R e sid e ntial 

Treatm e nt Faoility under this S e ction on th e e ffeotiv e dat e 

of this Rule, and providing services to more than a total of 

12 children and adolescents, is exempt from tho provision 

in Paragraph (a) of this Rul e and may oontinu e to provide 

s e rvio e s at no more than th e faoility'o lic e nsed capacity, pro 

viding that tho capacity does not exceed 2 4 . 

— te) — Any Child Caring Institution which is currently 

lio e no e d by th e Division of Social S e rvic e s on th e e ffeotive 

dat e of this Rul e , may seek lic e nsure as a R e sid e ntial Tr e at 

mont Facility' as follows: 

(+) tho capacity of each residential unit in tho Rosi 

d e ntial Treatm e nt Facility shall b e limit e d to 12 

childr e n and adol e oo e nts; 
f2-) eaeh — residential — un+t — w+H — be — administered, 

staffed, and located to function separately from 

all oth e r residential units in th e faoility; and 
(£) th e ov e rall oapaoity shall be limited to th e our 

rent capacity of the institution at tho time of 

licensure as a Rosidontial Treatment Facility, 
(d) — Th e two form e r Child Caring Institutions that are 
currently lio e no e d ao Resid e ntial Tr e atment Faoilitios under 
this Section on the effective date of this Rule shall bo: 

(+) exempt from the capacity limit of 2 4 ; 

(2) exempt from th e provisions in Subparagraphs 

(c)(1) and (2) of this Rul e ; and 
@) limited to the licensed capacity existing on July 

1, 1993. 

Statutory Authority- G.S. 122C-26; 143B-147. 

.0603 HOURS OF OPERATION 

Each facility ohall op e rat e 24 hours p e r day. at l e ast five 
days p e r w ee k, at l e ast 50 weeks p e r y e ar, e xoluding legal 
holidays. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0604 STAFF REQLTRED 

Each facility shall have a director who has a minimum of 



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two years' oxporionco in child or adoloacont services and 
who hao oduoational pr e paration in administration, e duoa 
tion, oooial work, nursing, psychology or a r e lated fi e ld. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0605 CLIENT TO STAFF RATIO 

(a) — At all timos, the following minimum child to staff 
ratios shall bo in offoct: 
(4^ on e dir e ot oar e staff memb e r shall b e pr e s e nt 

with oaoh four ohildron or adol e so e nts; and 
(3) if children or adolo3conts aro cared for in sopa 

rato buildings, the ratios shall apply to each 

building. 
— (kh) — When two or more cli e nts ar e in th e facility during 
waking and sleeping hours, the emergency on call staff shall 
bo readily available by telephone or page and able to reach 
th e program within 30 minut e s. 

(c) When only one ohild or adol e so e nt is in th e facility, 
a minimum of ono staff member shall bo on duty during 
waking and sleeping hours. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0606 TRAINING OF STAFF 

— (*) — Eaoh faoility shall provide or secur e pre s e rvic e 
training for all staff. 

(b) Each direct care staff member assigned to the facility 
shall bo trained to manage the children or adole s cent s 
individually and as a group. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0609 SUMMER PROGRAM 

Staff shall provide or soour e day programming for e aoh 
child or adolescent whoso educational service does not 
oxtond through the summer months. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0611 PSYCHIATRIC/CLINICAL CONSULTATION 

(a) — Psyohiatrio consultation shall b e availabl e on an as 
needed basis to e aoh oli e nt in th e faoility. 

(b) Clinical consultation shall bo provided by a qualified 
mental health professional to each facility at least twice a 
month. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0612 SCHEDULE OF DAILY ACTIVITIES 

— (*) — Each faoility shall hav e a written sch e dul e of daily 
activities posted in a place acce ss ible to each child or 
adole s cent and staff. 

(b) — Both fr ee play and organiz e d outdoor r e cr e ational 
activiti e s shall b e provid e d. 

— fe^ Field trip s and community experiences — shall be 

coordinated with individual treatment plans. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0613 RESIDENTS' PARTICIPATION IN 
HOUSEKEEPrNG ACTIVITIES 

Eaoh ohild or adol e so e nt shall b e involv e d in routine 
maint e nanc e activiti e s as is appropriate to his clinical n ee d. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0614 PERSONAL HYGIENE 

Instruction s hall bo provided in good health practices 
pertaining to personal hygiene and grooming. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0615 CLOTHING 

— Eaoh ohild or adol e sc e nt s hall hav e his own clothing and 
shall hav e training and h e lp in its s e l e ction and care. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0700 - DAY TREATMENT FOR 

CHILDREN AND ADOLESCENTS 
WHO ARE EMOTIONALLY DISTURBED 

.0701 SCOPE 

(a) Day treatment is a day/night faoility for children and 
adolescents who are emotionally disturbed which coordinates 
e ducational activiti e s and intensive tr e atm e nt whil e allowing 
th e individual to liv e at hom e or in th e community. — Th+s 
service i s designed to increase ability of the child or 
adolescent to relate to others and function appropriately 
within th e community whil e s e rving a o an int e rv e ntion to 
pr e v e nt hospitalization or placem e nt outside the hom e or 
community. — It provides a therapeutic environment as well 
as other activities which may include ind i vidual therapy, 
group th e rapy, r e cr e ational therapy, languag e oommunioa 
tien — skills — d e v e lopment, — social — s kills — d e velopment, 
pro vocational — service, — vocational — training, — service — te 
parents, and ind i vidual advocacy. — The client's educational 
aotivitios may be provid e d in this facility or in anoth e r 
e ducational — s e tting, — such as — r e gular class e s — or s pecial 
education programs within a normal school setting. 

(b) If the adolesoent has his 18th birthday while receiving 
tr e atment in a day treatment facility, h e may continue in the 
faoility for six months or until the end of the state fisca l 
year, whichever is longer. — If an older olient presents with 
needs dovclopmencally characteristic of this age group, ho 
may b e consider e d for admission. 

— fe} — Day tr e atment facilities may includ e befor e /aft e r 
school and summer facilities, and early intervention. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0702 EXCLUSIONS FROM LICENSURE 

A day treatment facility shall be subject to licensure under 



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G-7&-. — 122C, Article 2. unloss excluded from lioonauro 
thereund e r. 

Statutory Authority G.S. 122C-22; 122C-26; 143B-147. 

.0703 INDOOR ACTIVITY SPACE 

Th e facility ohull hav e indoor aotivity spac e . 

Statutory Authority G.S. 122C-26; 143B-147. 

0704 OUTDOOR ACTIVITY SPACE 

— Outdoor activity space , shall bo provided. — The outdoor 
space shall either bo enclosed or offer protection through 
natural barri e rs or distance from dang e rous conditions or 
situations. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0705 STAFF REQUIRED 

Each facility shall have a program director who has a 
minimum of two years' experience in child or adolescent 
servic e s and who has e ducational pr e paration in administra 
tion. education. — social work, nursing, psychology or a 
related fi e ld. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0706 CLIENT/STAFF RATIO 

— tfi-) — A minimum of two staff members shall bo present 
with cli e nts at all tim e s e xcept on occasions wh e n only on e 
client is in th e program in which cas e only one staff 
member is required to bo prosont. 

— fb} — A minimum ratio of one staff member to oach eight 
clients shall b e maintain e d at all times. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0707 TRAINING OF STAFF 

— (*) — Each facility — s hall prov i d e or s e our e pr e s e rvic e 

training for all staff. 

— fb} — Each direct care staff member assigned to the facility 

shall b e train e d to manag e th e cli e nt s individually and a s a 

group. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0708 TREATMENT PROGRAM 

Each facility shall address the funct i oning level of the 
client and shall include at least training in language or 
communication skills, fin e and gross motor skills, social 
relation s hip s kill s and r e cr e ational skills. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0709 EDUCATIONAL PLACEMENT 

The re s ponsible local education agency shall approve tho 
placement if the facility is a designated educational place 



ment of tho school ago cliont. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0711 PSYCHIATRIC CONSULTATION 

Psychiatric consultation shall b e available on an as n e eded 
basis to e aoh client. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0712 SCHEDULE OF DAILY ACTIVITIES 

— Each — facility — shall — have a written — schedule — of daily 
activities posted in a plac e accessible to clients and staff. 

Statutory Authority G.S. 122C-26; 143B-147. 

SUBCHAPTER 14M - LICENSURE RULES FOR 

MENTAL RETARDATION/DEVELOPMENTAL 

DISABILITIES FACILrriES 

SECTION .0100 - SPECIALIZED COMMUNITY 

RESIDENTIAL CENTERS FOR 

INDIVIDUALS VVrTH MENTAL RETARDATION 

OR OTHER DEVELOPMENTAL DISABILrTIES 

.0101 SCOPE 

A sp e cializ e d community r e sid e ntial cent e r is a facility 
which provides care, treatment and developmental training 
for mentally retarded or otherwise dovolopmontally disabled, 
multi handioapp e d individuals, childr e n, adol e so e nts. — &r 
adults, ov e r an e xtend e d p e riod of tim e , through integration 
of medical services and close supervision. — Tho service i s 
designed to assist oach individual to attain his highest level 
of ind e p e nd e nt living skills whil e r e c e iving car e for his 
physical needs. — This faoility may b e oortifi e d for M e dicaid 
as an Intermediate Care Facility for tho Mentally Retarded 
(ICF/MR). 

Statutory Authority G.S. 122C-26; 143B-147. 

.0102 CAPACITY 

Facilitie s beginning op e ration subs e quent to th e e ffective 
dat e of th e s e rul e s shall b e design e d to s e rv e no mor e than 
30 clients at one location. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0103 HOURS OF OPERATION 

— (*) — Each facility shall operato 2 4 hours per day. seven 
days p e r w ee k, 12 months per year, 
(b) — Waking and sl ee ping hours of th e faoility shall bo 

designated and posted by the Program Director. The 

Program Director shall designate when the hours are in 
e ff e ct. 

Statuton' Authority G.S. 122C-26; I43B-I47. 



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.0104 BEDROOM SPACE 

No moro than oix infants or childr e n and no mor e than 
four adults may oharo an individual b e droom rogardlooo of 
bedroom sizo. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0105 QUALIFICATIONS OF DIRECTOR 

Each facility shall designate a director who holds a 
baccalaur e at e d e gre e with op e eializntion in administrat i on, 
education, sooial work, nursing, poyohology or a r e lat e d 
field or who has comparable experience and education 

Statutory Authority G.S. 122C-26; 143B-147. 

.0106 NURSING STAFF 

(a) At least one registered nurse or person certified as a 
lioens e d practioal nurs e shall bo in th e imm e diat e ar e a at all 
tim e s. 

(b) — Each facility shall have access to the services of at 
least one registered nurse. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0107 CLIENT TO STAFF RATIOS 

— (a) — During waking hours, th e following minimum cli e nt 

to staff ratios shall b e in e ff e ct: 

(4-) regardless of the number of clients, a minimum 

of two direct care staff members shall be on 

duty in th e building at all times; 



— (c) Each client shall have a complete change of personal 
clothing at l e ast daily. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0110 DADLY TRAINING ACTIVITIES 

— (a) Daily training activities shall b e sch e dul e d to m ee t th e 

developmental needs of oaeh client. 

— (h) — Activities shall take into consideration the length of 

tim e e ach client — should b e sch e dul e d — for needed — rest 

p e riod s , his ne e d for individual att e ntion. — and special 

limitation of activities and diets. 

— fe-) — Both free play and organized r e creational activities 

shall bo provid e d as appropriat e to individual noods. 

(d) — Fi e ld trips and oommunity e xp e ri e nces shall bo 
provided for individual olionts. 

(o) — Daily routines common to non handicapped clients 
shall b e followed. 

(f) Daily outdoor activiti e s shall b e planned in acc e ptable 
weather when appropriate to the health and physical need s 
of tho client. 

(g) Whon adults ar e s e rv e d, vocational s e rvio e a shall bo 
provided unl e ss th e r e is m e dioal oontraindioation. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0111 MEDICAL STATEMENT 

— (*) — Each staff member who works directly and on a 
regularly scheduled basis with clients shall submit a medical 
stat e m e nt from a lio e ns e d physioian or an authoriz e d h e alth 

-(3} a minimum of on e dir e ct oar e staff m e mb e r shall prof e ssional under tho sup e rvision of a physician to th e 

facility at tho time of initial approval and annually thereof 



bo on duty for each five client s ; and 

-(3) if clients are cared for in separate buildings, tho 

ratios shall apply to each building. 



tdfr 



-fb) — Tho medical stat e m e nt shall bo in any writt e n form 
(b) During sl ee ping hour s , th e following minimum oli e nt and shall indicate th e g e neral physical and m e ntal h e alth of 



to staff ratios shall bo in effect: 

(44 one direct care staff member shall be awake and 

on duty at all times and one other staff member 

shall b e on call in th e building; 



-m- 



-(5)- 



a minimum of one direct caro staff member s hall 
bo on duty for oaeh ton clients; and 
if oli e nts ar e oar e d for in s e parat e buildings, th e 
ratios shall apply to e ach building. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0108 MEDICAL CARE 

Medical care shall be available on a 2 4 hour basis for e ach 
client. Such care shall be provided by a facility designated 
physioian or by th e oli e nt's privat e physioian. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0109 PERSONAL CARE 

— (*) — Each olient's personal hygiono needs shall b e m e t 
daily, 
(b) Toilet articles shall bo made available to each client. 



the — individual — and — any — restrictions — required — by — G.S. 

130A 144 to prevent tho transmission within tho facility of 

tub e rculosis or any other oommunioabl e dis e as e or oondition 

that r e pr e s e nts a significant risk of transmission within tho 

facility. 

— fe} — Tho facility shall keep tho most recent medioal 

stat e m e nt on file. 



Statutory Authority G.S. 122C-26; 130A-144; 143B-147. 

.0112 PROVISION FOR INTERDISCIPLINARY 
SERVICES 

Interdi s ciplinary servicer — including medical, — nursing, 
dental, social work, ph ysi cal therapy, language and commu 
nioation — th e rapy, — e ducation — and — psychology, — shall — be 
availabl e to the faoility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0113 PARTICIPATION OF THE FAMILY 

OR LEGALLY RESPONSIBLE PERSON 

(a) — Facility staff shall help the family or tho logally 



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responsible poroon in understanding mental retardation and 
other d e velopmental dioabilitieo, their ohild'o d e v e lopm e nt, 
and th e oxtont of the ohild's handioap. 

(b) — Family momboro or the legally rooponsible person 
shall bo provided with the opportunity to participate in 
training oominaro. 

— fe-) — Family momboro or the l e gally rooponoibl e person 
shall bo encouraged to maintain an ongoing relationship with 
thoir child through such moans an visits to tho facility and 
the child's visits with th e par e nt or the l e gally r e sponsibl e 
person outsid e tho facility. 

(d) Reports to tho parent or tho legally responsible person 
shall bo submitted at least annually. — Reports may bo in 
writing or tak e tho form of a oonf e r e no e and shall foous on 
tho ohild'o progress toward mooting individual goals. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0500 - SCHOOL YEAR: 

BEFORE/AFTER SCHOOL AND SUMMER 

DEVELOPMENTAL DAY SERVICES 

FOR CHILDREN WITH MENTAL 

RETARDATION OR OTHER 
DEVELOPMENTAL DISABILITY 

.0501 SCOPE 

— fa-) — Bofor e /aftor school d e v e lopm e ntal day s e rvic e s for 
childr e n with mental retardation or oth e r d e v e lopm e ntal 
disabilities aro day — sorvicos — which — provido — individual 
habilitativo programming and recreational — activities for 
school ago childr e n. — Servio e o ar e provided pr e oeding and 
following tho sohool day during th e months of local school 
operation and are designed to moot dovolopmontal needs of 
tho children as woll as tho child care needs of families. 
B e for e /aft e r sohool sorvio e s may b e provid e d as a oompo 
nont of a d e v el opmental day o e nt e r which s e rv e s pr e sohool 
ago children or may bo provided as a separate component. 

(b) Summor dovolopmontal day sorvicos for children with 
m e ntal retardation or other d e v e lopm e ntal disabiliti e s ar e 
day oervio e s which provid e individual habilitativ e program 
ming and recreational activities in a licensed child caro 
center for school ago children during tho summor period 
wh e n they ar e not participating in educational activities. 
This se rvice is d e sign e d to promot e continuing progr e ss in 
acquiring dovolopmontal skills such as self help, fine and 
gross motor, language and communication, cognitive and 
social skills in ord e r to facilitat e functioning in a loss 
r es trictive environm e nt. — Th e s e rvic e is also d e signed to 
meet child caro needs of families. 

(o) Sohool year dovolopmontal day services for children 
with m e ntal r e tardation or oth e r d e v e lopm e ntal disabiliti e s 
ar e day programs whioh provid e individual habilitativ e 
programming for school ago children during tho school day 
throughout tho sohool year when tho local schools aro in 
op e ration. — Th e sohool ag e childr e n ar e s e rv e d und e r a 
contractual agreement with th e local school syst e m. 

(d) Tho rules in this Section aro applicable whon: 



(-B those services are provided as a separate froo 

otanding oomponont whioh io not in tho Baffle 
faoility as a developm e ntal day center for pro 
school children licensed under G.S. 110, Artiolo 
7; and 

f2-) th e s e s e rvio e o are offered for a total of four 

hours p e r day or l e ss. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0502 HOURS OF OPERATION 

(a) — Each bofore/aftor school dovolopmontal day service 
shall bo available for a minimum of throe hours per day 
( e xclusiv e of transportation time), fiv e days per week, 
during th e months of local sohool op e ration. 

(b) — Each summor dovolopmontal day service shall bo 
available for a minimum of eight hours per day (exclusive 
of transportation tim e ), fiv e days p e r w ee k, during tho 
w ee ks in whioh local sohool op e ration io clos e d for summor 
break. 

(c) Each school year dovolopmontal day service shall bo 
availabl e for a minimum of e ight hours p e r day, five days 
per w e ek during th e months of local sohool op e ration. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0503 CLASSROOM AND ACTIVITY SPACE 

(a) A ratio of 50 square foot per child shall bo available 
for indoor classroom and activity spaco, exclusive of space 
oooupiod by sinks, look e rs, storage oabin e ts and other fixed 
e quipm e nt. 

(b) Space shall bo available for small groups and individ 
ualizod training as follows: 

(-H Sp e oial int e r e st areas shall b e provid e d to en 

hano e th e d e v e lopment of e aoh ohild. 

(3) Space for indoor physical activities shall bo 

available for tho provision of those activities 
e nhanoing gross motor d e v e lopm e nt. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0504 OUTDOOR ACTIVITY SPACE 

Outdoor activity spac e shall bo availabl e in th e ratio of 
200 square foot per child scheduled to use tho area at any 
one t i me. — The outdoor space shall either bo enclosed or 
off e r prot e ction through natural barri e rs or distano e from 
pot e ntially dang e rous conditions or situations. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0505 PROGRAM DIRECTOR 

(a) Each dovolopmontal day contor shall have a designated 
program director. 

(b) — Th e Program Dir e ctor shall hold a baooalaur e ato 
d e gr ee with sp e cialization — in administration, e duoation, 
social work, nursing, psychology or a re l ated field or have 
comparablo experience and oducation. 



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Statutory Authority G.S. 122C-26; 143B-147. s tatement from a licen s ed phy s ician or an authorized health 

profeooional und e r th e s up e rvision of a phyoioian to tho 

.0506 AGE OF STAFF facility at th o tim e of init i al approval and annually thereaf 

Each staff member except student traineoa and supervised tefr 

voluntoors shall be at least 18 years of ago and the Director (b) — The medical statement shall bo in any written form 

and s hall indicat e th e g e neral physical and m e ntal h e alth of 
the — individual — and — any — r e strictions — r e quir e d — by — G.S. 
130A 141 to prevent tho tran s mis s ion within tho facility of 
tuberculosis or any other communicable di s ease or condi 
tions that r e pres e nt a significant risk of tran s mission within 
th e facility. 

— fe) — Tho facility — shall keep tho most recent — medical 
statement on file. 



shall be at least 21 y e ars of ag e . 

Statutory Authority G.S. 122C-26; 143B-147. 

.0507 STAFF REQUIREMENTS 

(a) Staff memb e rs shall provid e continuous sup e rvision of 
each child. 

(b) A minimum of two staff members shall provide direct 
child care at all tim e s. 

(o) A minimum of on e direct oar e staff m e mb e r shall b e Statutory Authority G.S. 122C-26; 130A-144; 143B-147. 
on duty for each five children. 

Statutory Authority G.S 122C-26; 143B-147. 



.0508 PARTICIPATION OF THE FAMILY 

OR LEGALLY RESPONSIBLE PERSON 

Th e center shall provide or s e cure opportuniti e s for th e 
parent or tho legally responsible p e rson to attend individual 
or group activities. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0509 DAILY TRAINING ACTIVITIES 

(a) Daily training activities designed to moot tho develop 



SECTION 0600 - ADULT DEVELOPMENTAL 

ACTIVITY PROGRAMS FOR 

INDIVIDUALS WITH SUBSTANTIAL 

MENTAL RETARDATION: SEVERE PHYSICAL 

DISABILITY OR OTHER SUBSTANTIAL 

DEVELOPMENTAL DISABILITIES 

.0601 SCOPE 

(a) An adult developmental activity program (ADAP) is 
a day/night s e rvice which provides organized developm e ntal 
activiti e s for adult s with substantial m e ntal r e tardation, 
sovoro physical disabilities or other substantial dcvclopmon 
tal disabilities to prepare the individual to live and work as 



mental needs of e ach child shall b e sch e dul e d and con independently as possibl e . Th e activiti e s and s e rvic e s of an 



duct e d. 

(b) — Activities shall bo planned around tho following 
principles: 



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4S>- 



ADAP ar e d e sign e d to adh e r e to th e principl e s of normaliza 
t+en — and — community — integration — aimed — at — increasing 
ago appropriate — actions. — images and appearance — of the 
individual. 

(b) An ADAP off e rs a div e rs e vari e ty of sp e cific services 
and activities. — These includ e vocational evaluation, voca 
tional training, remunerative employment, personal and 
community living skill d e v e lopm e nt, adult basio e duoation 
and long t e rm support, follow up and oas e manag e m e nt. 
Support services to clients' families and consultation with 
tho clients' employers and other involved agencies may also 
b e provid e d. — Th e amount of timo devot e d to those areas 
individual noods of e aoh child. — Th e following principl e s vari e s consid e rably d e p e nding on tho needs of th e cli e nts 



Group and individual activiti e s, r e lat e d to indi 
vidual goal plan s , s hall b e sch e dul e d daily. 
Field trips and community oxpenencos shall bo 
coordinated with the goal plans for each child. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0510 GROUPING OF CHILDREN 

Grouping of childr e n shall allow for att e nding to th e 



shall bo observed when grouping children: 

(4) tho younger tho children, the smaller the group; 

<4) th e mor e d e lay e d th e childr e n, th e small e r th e 



h-: 



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44)- 



d e lay < 
group; 

the greater the number of physically handicapped 
children, tho smaller tho group; and 
th o wid e r tho chronological — age — group. — &e 
small e r th e group. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0511 MEDICAL STATEMENT 

(a) — Eaoh staff member who work s directly and on a 
regularly scheduled basis with clients shall submit a medical 



served. 
(c) The Rules contained in this Section are applicable to 

thr ee s p e cific mod e ls of ADAP services a s follow s : 

(4) ADAP Facility Bas e d. — Th e majority of the 

ADAP activities in this model, whether voca 
tional or developmental in nature, are carried 
out on tho pr e mis e s of a sit e sp e cifically de 
s ign e d for this purpo s e. 

fS) ADAP Supported Employment. — The only 

ADAP s ervices provided by tho operator are 
thos e r e lat e d to supported e mploym e nt. — All of 
th e training activiti e s in this mod e l occur at the 
location where the client actually works or livos. 
not in a specialized facility maintained by the 



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PROPOSED RULES 



operator. 

(3-) ADAP — Support e d Employm e nt — Long T e r m 

Support. — Clients s e rv e d in this mod el hav e 
s uccessfully — completed — the — intensive — initial 
training phase of supported employment which 
is oponoor e d by and the r e oponoibility of th e 
Divioion for Vocational Rehabilitation S e rvio e o. 
Thoy are receiving — those long term support 
s ervices which are targeted towards maintenance 
in the job and residential B e tting and ind e p e nd e nt 
functioning in the oommunity. — Those are o e r 
vices which are the responsibility of the D i vi 

sion. Examples of such long term supp ort 

oerviooo inoludo "rofr e oh e r" vocational training 

to onsuro that e xisting job skills are not lost, 

training in now job performance expectations. 

community living skill training, and consultation 

to other e mploye e s, e mployers, and famili e s, 

and r e sid e ntial program staff. 

(d) A single facility may operate more than ono of those 

models. Rules .0602, .060 4 , .0606 and .060 8 through .0617 

of this Seotion ar e applioabl e to all thre e mod e ls. — The 

r e maining rul e s ar e applicable to th e individual mod e l as 

indicated in the rule. — Whatever the model provided, it is 

the ADAP that is subject to licensure, not the location of the 

busin e ss or organization whore th e oli e nt is plaoed for work. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0602 COMPLIANCE WITH OTHER RULES 

An ADAP facility shall b e sub j ect to lioensur e und e r G.S. 
122C. Article 2 unless provided by a facility subject to the 
rules of the North Carolina Division of Vocational Rohabili 
tation Servic e s. 



Statutory Authority G.S. 122C-26; MSB- 147. 

.0606 PROGRAM DIRECTOR 

(a) Each ADAP shall have a designated full time program 
director. 

(b) Th e Program Dir e otor shall be at loaot a high oohool 
graduat e or e quiva le nt with throe y e ars of e xperience in 
developmental disabilities programming. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0608 CLIENT EVALUATOR 

(a) Each facility shall have evaluation services available 
for all oli e nts. 

(b) — Any person providing evaluation o e rvioes shall havo 
a high school diploma. — Such person shall bo approved for 
such responsibilities by the privileging procedures approved 
by th e ar e a authority or its contract ag e noies. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0609 ACTIVITIES AND SERVICES 

(a) — ADAP activities and o e rvio e o shall bo design e d and 
implemented with adherence to the princip l es of normalize 

(b) Community integration activiti e s shall b e provid e d on 
an individual basis but in groups no l arg e r than two to throe 
person s whenever possible. 

(c) — Activities and services shall bo aimed at increasing 
age appropriate actions, — images and appearanc e of th e 
cli e nts. 

(d) — Activities and services shall bo directed toward the 
preparation of substantially hand i capped adults to live as 
independently as possibl e . 



Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; 143B-147. 



0604 PHYSICAL PLANT REQUIREMENTS 

(a) If th e sit e is maintain e d by th e ADAP, th e following 
are applioable: 
(4-) Each site shall bo inspected annually by an 

outsid e saf e ty consultant with writt e n dooum e n 

tation and follow up on r e comm e ndations; 
f2-) Each site shall bo designed and equipped to 

promote the training, employment and adult 

status of oli e nts; 
(-3-) Each work sit e shall e liminat e archit e ctural 

barriers which prohib i t acce s s to the building 

and use of equipment and facilities; 
(-4} Each sit e shall provid e ad e quat e toil e t faciliti e s 

and drinking fountains for cli e nts; and 
{4) Each site shall havo designated space for class 

room activitios. 

— fb) If th e s it e i s maintain e d by anoth e r individual, 

busin e ss or organization, the ADAP shall determin e that th e 
site reflect s s af e working conditions for that client prior to 
and during p l acement of the client at the s ite. 



.0610 SAFETY EDUCATIONAL PROGRAM 

— Eaoh ADAP shall provide an ongoing e duoational program 
for staff and clients designed to teach them the princip l es of 
accident prevention and control of spec i fic hazard s: — The 
program shall includ e training for oli e nts in personal, work 
and e nvironm e ntal saf e ty. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0611 SAFETY COMMITTEE 

If the sito is maintained by the ADAP, tho following aro 
applicable: 

— (4} A saf e ty oommitt e o compris e d of staff m e mbers 

and cli e nts shall b e appoint e d to r e vi e w accid e nt 
reports and to monitor tho ADAP for safety; 
(2) Tho safety committee shall moot at least quarterly; 

— Q) Minut e s shall b e kept of all meetings and submit 

tod to tho Program Director with recommendations 
for needed changes. 



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Statutory Authority G.S. 122C-26; 143B-147. accordance with procoduroo outlined in tho AREA PRO 

GRAM BUDGETING AND PROCEDURES MANUAL, 
.0612 BUSINESS PRACTICES APSM 75 1. 

—(a) — Tho following aro applicable if tho ADAP socks or 

rocoivos remuneration for goods or services provided to Statutory Authority G.S. 122C-26; 143B-147. 
another individual, organization or buoin e oo: 
(4) Suppli e d, materials or toolo, if provid e d by th e .0619 

ADAP, shall bo identified as a separate amount 

in tho bid price; 



FACILITY BASED ADAP: CLIENT/ 
STAFF RATIO 



-(2) Wag e s paid to ADAP olionto shall b e on a pieo e 



—(a) — Each ADAP shall maintain an overall direct sorvico 
ratio of at least on e full tim e or full tim e equivalent direct 
o e rvio e staff member for oaoh ton or f e w e r olients. 



-&r 



receive a written statement for each pay period 
whioh indioat e s grooo pay, hours worked and 
deductions; and 
Prices for goods produced in tho ADAP shall be 



-W- 



rate or hourly oommonourat e wag e ; 

Each client involved in productive work shall (b) For facilities having an approved supported employ 

mont conversion plan as defined in 10 NCAC 1 4 K .0103, 
this standard will not apply for a maximum of t e n olionto or 
20 p e roont of a facility's av e rag e daily e nrollm e nt, whioh 
over is greater. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0620 SUPPORTED EMPLOYMENT: CLIENT/ 
STAFF RATIO 

(a) In group support e d employm e nt mod e ls, suoh as tho 
mobil e or e w or e nolavo. oaoh ADAP shall maintain an 
overall direct sorvico ratio of at loast one full time oquiva 
lent direct sorvico staff mombor for each eight or fewer 
oli e nts. 

(b) — In individual plao e m e nt mod e ls, suoh as job ooaoh, 



equal to or exceed tho cost of production (in 
oluding oomm e nsurat e wag e s, ov e rh e ad, tools 
and mat e rials), 
(b) — If tho client is an employee of another individual, 
organization or business, tho ADAP shall review client 
earnings information on at l e ast an annual basis to ensure 
appropriateness of pay rat e s and amounts. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0614 PROMOTION OF CLIENTS' RIGHTS 

Clients shall bo counseled concerning their rights and 
re s ponsibilities in such matters as wagos, hours, working 
conditions, oooial s e curity, — redress for injury and tho 
oonsoquonoes of th e ir own tortuous or un e thioal oonduot. 

Statutory Authority G.S. 122C-26; 143B-147. 

,0615 USE OF PUBLIC TRANSPORTATION 
BY CLIENTS 



tho amount of staff contact time per client shall bo individu 
alized based on client noods and goals as identified in tho 
Individual Program Plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0621 ADMISSIONS CRITERIA AND 
PROCEDURES 

—(ft) — Each ADAP shall have an admissions committee. 



Clients served by tho ADAP shall bo encouraged to use (b) A pro admission staffing shall bo hold for each client 



publio transportation or oth e r non faoility transportation 
options, if availabl e . 

Statutory Authority G.S. 122C-26; 143B-147. 

.0617 HANDBOOK 

(a) Each ADAP shall have a cliont handbook including, 
but not limited to, information about services and activities. 

(b) — Th e oli e nt handbook shall b e written in a mann e r 
oompr e h e nsibl e to oli e nts and r e fl e otivo of adult status. 

(c) — Each cliont shall bo given a handbook, and tho 
handbook shall bo reviewed with tho client. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0618 FACILITY BASED ADAP: 
HOURS OF OPERATION 

ADAP o e rvio e s shall b e available for oli e nt attendance at 
least six hours per day (exclusive of transportation time), 
five days per week, 12 months per year unless closed in 



consid e r e d for admission to th e ADAP. — During tho staffing, 
th e Committee shall oonsid e r information availabl e regarding 
tho client's medical, psychological, social, and vocational 
histories. 

—(e) — R e sults of th e pr e admission staffing shall b e doou 
m e nt e d and forward e d to th e r e f e rral or sponsoring ag e ncy. 
A roprosontativo of tho ADAP admissions committee shall 
notify' the cliont. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0700 - COMMUNITY RESPITE 

SERVICES FOR INDIVIDUALS WrTH 

MENTAL RETARDATION: OTHER 

DEVELOPMENTAL DISABILrTIES: 

DEVELOPMENTAL DELAYS OR AT 

RISK FOR THESE CONDITIONS 

.0701 SCOPE 

—(ft) — Community rospito is a support service which pro 



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PROPOSED RULES 



vidos periodic roliof for a family or family substitute on a 
temporary basis. — Whil e overnight oare io availabl e , oommu 
nity roopito s e rvices may b e provid e d for p e riods of looo 
than 24 hours on a dny or evening basis. — Respite care may 
bo provided by the following models requiring licensur e 
under the provisions of G.S. 122C, Artiol e 2: 

f4-) Cantor bas e d — respit e io a support service in 

which the individual is served at a designated 
facility which has potential for overnight care- 
While an ov e rnight oapaoity is generally a part 
of thin service, a r e spite oent e r may provid e 
respite services to individuals for periods of loss 
than 24 hours on a day or evening basis. 

(3) Private homo respite io a support s e rvio e in 

which — the gov e rning body provid e s r e spit e 
services to individuals in the provider's homo on 
an hourly or overnight basis directly or by 
oontraot. 
(b) Private homo respit e sorvio e s s e rving individuals with 
mental retardation, other developmental disabilities, develop 
mental delays or those at risk for these conditions are 
subj e ct to licensure und e r G.S. 122C, Artiol e 2 wh e n: 

(4-) more than two individuals ar e served conour 

rontly; or 

Qr) either one or two childr e n, two adults, or any 

combination thereof ar e s e rv e d for a cumulativ e 
period of tim e exc ee ding 240 hours p e r oal e ndar 
month. 

Statutory Authority G.S. 122C-22(a)(8); 122C-26; 143B-147. 

.0702 POPULATION SERVED 

Each respite facility shall be designed to servo individuals 
with m e ntal r e tardation or oth e r d e velopmental disabiliti e s- 
developmental d e lays, atypioal d e v e lopm e nt or thos e at risk 
for these conditions. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0703 PHYSICAL PLANT REQUIREMENTS 

(a) A minimum of one ionized smoke detector wired into 
th e house curr e nt shall b e install e d and o e ntrally locat e d. 
Additional smoke d e t e ctors that ar e not wir e d into th e hous e 
current shall bo chocked at least monthly by the provider. 

(b) A dry powder or CO(2) type fire extinguisher shall be 
locat e d in th e kitch e n and shall b e ch e ck e d at l e ast annually 
by th e local fire department. — Each provider of respite care 
shall receive instruction in its use prior to the initiation of 
service. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0704 PROGRAM DIRECTOR 

Th e Program Director shall b e e ith e r: 

— (-J-) a graduat e of a coll e g e or univ e rsity with a four 

year degree in human service related field: or 
(2) a high s chool graduate or equivalent with at least 



throe years of experience 
gramming. 



in human service pro 



Statutory Authority G.S. 122C-26; 143B-147. 

.0705 AGE OF STAFF MEMBERS 

Th e Program Dir e ctor shall b e at l e ast 21 yearo of ago. 
All othor staff shall bo at least 1 8 years of ago except those 
who are 16 or 17 years of ago and who are working directly 
und e r th e sup e rvision of an exp e rionood e mploy ee . 

Statutory Authority G.S. I22C-26; 143B-147. 

.0706 FAMILY SERVICES COORDINATOR 

— At l e ast on e otaff p e rson of th e respit e s e rvio e shall bo 
designated to assist parents or the legally responsible person 
in making application for respite care, in detailing the 
s e rvio e d e liv e ry plan for e aoh — respite e p i sod e . — and in 
coordinating th e activiti e s of th e s e rvio e with family lifo. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0707 PERSONAL CARE 

Other than during short episodes of respite (loss than 2 4 
hours), activities of daily living common to non handicapped 
individuals shall b e followed. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0708 LENGTH OF STAY 

Eaoh gov e rning body shall e stablish a writt e n polioy 
regarding the minimum and maximum lengths of service for 
each respite episode, as well as tho frequency that individu 
als may us e th e s e rvic e . 

Statutory A uthonty G.S. 122C-11 7(a) . 

.0709 RESPITE ACTIVnTES 

(a) — Activiti e s shall e mphasiz e maturation of e aoh ohild 
and independence of adults, supplementing tho services 
being prov i ded by other programs and by parents or tho 
l e gally r e sponsibl e person. 

(b) — Activiti e s shall b e plann e d daily and shall tak e into 
consideration tho length of time each child should bo 
scheduled for needed rest periods, tho need for individual 
att e ntion, and sp e cial limitations of activiti e s and di e t. 
— (o) Activities shall bo design e d to provide e aoh ohild and 
adult with learning opportunities, recreation, reinforcement 
of self help skills, language skills, socialization, — motor 
coordination and m e thods which hav e b ee n suooessful in 
oth e r s e ttings or are associated with th e cli e nt's family lif e . 

(d) — Ago appropriate recreational and learning material s 
shall be accessibl e to children and adults. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0710 MEDICAL STATEMENT 



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(a) — Each roapito oaro provider, student intern, regular 
volunteer, substitute otaff, or oth e r individual who work s 



(a) — Each client s hall be ob s erved by s taff for signs of 
illnes s or injury at th e b e ginning of e ach respit e e pisode, 
directly and on a continual basis with cli e nts shall submit a (b) Each cli e nt who b e come s ill shall b e s e parat e d from 

medical statement from a licensed physician at the time of other clients until the client leaves the center or until it is 



determined that the client does not represent a significant 
risk for transmission of a communicable dis e as e or condition 
within th e facility. 



initial approval and annually thereafter. 

— fk} — Tho m e dical statement shall b e in any written form 

and indicate the general physical and m e ntal h e alth of th e 

individual and any restrictions required by G.S. 130A Ml 

to prevent the transmission within the facility of tuberculosis Statutory Authority G.S. 122C-26; 143B-147. 

ef — any — other — communicabl e — dis e as e — or condition — that 

r e pres e nts a significant risk of transmission within th e ,0713 



facility. 

— fe) — The service shali keep the most recent medical 

statement on fil e . 

Statutory Authority G.S. 122C-26; 143B-147. 

.0711 CENTER-BASED RESPITE: 
STAFF REQUIRED 

— (a) In a community center based respite which serves four 
or more clients, a minimum of two staff members shall be 



PRIVATE HOME RESPITE: 
PROVIDER APPLICATION 



Each governing body shall maintain an application for 
each provid e r at th e facility where respit e s e rvices are 
provid e d including th e following: 

— (4-) full name of each person living in the facility: 

(2) place, telephone number and hours of employment 

for e ach individual at th e facil i ty who will bo 
providing r e spite care: 
(3) address, directions to, and telephone number of 



residence: 



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al e oping arrangem e nts for th e r es pit e cli e nt: 



on duty, during waking hours, wh e n fiv e or fewer cli e nts 
are in th e facility. — If more than fiv e cli e nt s ar e b e ing 
served, a minimum ratio of one staff member for each 
additional five or fewer clients shall be maintained. 

(b) — In a community c e nt e r based r e spit e which se rv es 
thr ee or few e r clients, a minimum of two staff m e mb e r s 

shall bo on duty, during waking hours, unless emergency Statutory Authority G.S. 122C-26; 143B-147 
backup procedures are sufficient to allow only one staff 



-fS-) pr e f e r e nc e of tim e wh e n r e spit e car e — t 

provided: 

age preference of re s pite cl i ents: and 

wh e th e r mal e s and f e mal e s can b e so rv o d. 



-m- 



m e mb e r on duty. 

— fe} — During sl e eping hours, a minimum of two staff 



0714 PRIVATE HOME RESPITE: 
PROVIDER TRAINING 



members shall bo available in the immediate area unless — Each facility providing respite care shall have at least one 

emergency backup procedures are sufficient to allow only adult member who has completed tho pro service training 

on e staff m e mb e r on duty. — In such instanc e s, minimum program pr es crib e d by th e gov e rning body. — Training shall 
acc e ptabl e e m e rgency proc e dur es s hall includ e th e follow 
iflgrr 

4-) written agreements — with emergency — medical 



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agroement 
transport s e rvic e s; 



includ e a basic und e rstanding of d e v e lopmental di s abiliti es , 
basic first aid and seizure management. 

Statutory Authority G.S. I22C-26; 143B-I47. 



-f24 availability of on call e m e rg e ncy backup that can 



arrive at the facility within 20 minute s : and 



.0715 PRIVATE HOME RESPITE: 

AGREEMENT WITH PROVIDERS 

(a) — Unl ess outlin e d in a writt e n job de s cription for 



-f3-) notification to parents or tho legally re s pon s ible 

p e r s on that only on e staff m e mb e r may b e on 
duty during sl ee ping hours, 
(d) On occasions when only one client is in tho facility. governing body uhall have a written agreement s igned by 



provid e rs 



' . ritten — polici es — and — proc e dur e s. — e ach 



a minimum of one s taff member shall be on duty during 
waking and sleeping hours. 

( e ) — Each facility shall op e rate 24 hours p e r day. s e v e n 
days por week, 12 month s per year. 
— ff) — Waking and sleeping hours of the facility shall be 

d es ignat e d and posted by th e Program Dir e ctor. The 

Program Dir e ctor s hall d es ignat e wh e n th e hours ar e in 
effect . 



Statutory Authority G.S. 122C-26; 143B-147 

.0712 CENTER-BASED RESPITE: 
CLIENT'S HEALTH 



each provider of private home respite care. 

— fb} — Th e provis i ons of th e agr ee m e nt shali sp e cify th e 

responsibilities of th e gov e rning body and tho provid e r 

including: 

(-H confidentiality requirements; 



-Gh 



proo e di 



4er- 



socunng e m e rg e ncy s e rvic e s; 



-(^ program activiti e s to b e impl e m e nted; 

-f4} r es pon s ibilities for supervising the re s pite client; 

-f§) procedure s related to administration of medioa 

tion s : 

-f6} partic i pation in r e spite training programs; 

-(-^) terms of compensation; 



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client rights; and 



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PROPOSED RULES 



(J^) adherence to agency policies and procedures. 

— 4e-) — A sign e d copy of the agr e ement shall be maintain e d 
by the governing body, and a sign e d copy shall be giv e n to 
the provider. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0716 PRIVATE HOME RESPITE: 

RESPONSIBILITIES OF GOVERNING BODY 

fa) — Each governing body shall: 

f4^ document offorto to matoh th e provid e r's ability 

to provide respite care with the client's physical 
and developmental needs; 

f2r) make availabl e — to the provid e r — instructions 

regarding duties and r e sponsibiliti e s whioh shall 
include, but need not be limited to: 

(A) — period of time for service to be provided: 

(-B-) — modioations to be administer e d, and 

fG-) — sp e cial di e tary consid e rations; and 

f£) provide each respite provider with a form -fef 

recording illness, accident, or medical concern. 
including administration of modioation. — Follow 
ing e ach — r e spit e episod e . — this form shall — be 
maintained by the governing body in the client's 
record. 

(b) If the r e spite cli e nt is involv e d in a d e velopm e ntal or 
occupational program, the respit e provider shall b e provid e d 
written information regarding responsibilities for assuring 
thut the client attends the program, and for structuring 
activiti e s at th e r e spite faoility to e nhanc e obj e ctiv e s e otab 
lished by the dev e lopm e ntal or occupational program. 

(c) At least one approved respite provider shall supervise 
the respite client at all times. 

fd-) — The respit e program director shall r e vi e w with th e 
provid e r th e plan for e m e rg e noy ovaeuation of th e hom e 
prior to accepting respite clients 

— (e) Only the respite program director or his designee shall 
arrang e r e spit e car e b e tw ee n th e cli e nt's family and th e 
respit e provid e r. 

Statutory Authority G.S. 122C-26; 143B-147. 

SUBCHAPTER 14N - LICENSURE RULES FOR 
SUBSTANCE ABUSE FACILrTEES 

SECTION .0100 - INPATIENT HOSPITAL 

TREATMENT FOR INDIVIDUALS WHO 

ARE SUBSTANCE ABUSERS 

.0101 SCOPE 

Inpat ie nt hospital tr e atm e nt is an inpati e nt substanc e abus e 
facility which provides care, treatment and rehabilitation on 
a continuous, short term basis in an intensive, 2 4 hour per 
day hospital s e tting. Th e se faoilitios are generally known as 
"2 8 day" facilitie s o v e n though length of stay is not limit e d 
to 28 days. Counseling is provided with supportive nursing 
and med i cal care and treatment by other professionals as 



needed. — If these facilities provide detoxification services, 
they shall comply with th e applicabl e rul e s for d e toxifioation 
in this Subchapter, S e ct i on UN .0200 (NON HOSPITAL 
MEDICAL DETOXIFICATION FOR INDIVIDUALS 
WHO ARE SUBSTANCE ABUSERS), Section UN .0300 
(SOCIAL SETTING DETOXIFICATION FOR INDIVIDU 
ALS WHO ARE ALCOHOLICS), and Section UN .0400 
(OUTPATIENT DETOXIFICATION FOR INDIVIDUALS 
WHO ARE SUBSTANCE ABUSERS) according to the typo 

of d e toxification off e r e d. Inpatient hospital treatment 

facilities include th e following: 

(1) a substance abuse unit within a psychiatric hospital 

or an attached or free standing substance abuse 
unit of a psychiatrio hospital lio e no e d under the 
provisions of G.S. 122C, Artiol e 2; and 

— f2) a free standing hospital specializing in substance 

abuse treatment licensed under the provisions of 
G.S. 122C. Article 2. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0102 HOURS OF OPERATION 

— Eaoh faoility shall op e rat e 21 hours p e r day, s e ven days 
per week, 12 months per year. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0103 STAFFING REQUIREMENTS 

— (a) The facility shall have a designated medical director. 

(b) A phyoioian shall b e pres e nt in th e faoility or on oall 
24 hours p e r day. — Th e tr e atm e nt of e aoh olient shall b e 
under the supervision of a physician. 

(c) — The staff shall include a minimum of one full time 
o e rtifi e d alooholism. drug abus e or oubstano e abus e ooun 
s e lor for e v e ry ton or f e w e r oli e nts. — If th e faoility falls 
below thia proscribed ratio and cannot moot tho proscribed 
ratio by employing a counselor who is certified, then it may 
e mploy an uncertifi e d oouns e lor as long as this individual 
me e ts th e c e rtification r e quir e ments within a maximum of 
26 months from tho date of employment. 

(d) At least one registered nurse shall bo on duty during 
oaoh shift. 

( e ) — At least two dir e ct car e staff m e mb e rs shall b e on 
duty at all time s . One direct care staff member for each 20 
or fewer cl i ents s hall b e on duty at all times in facilities 
s e rving adults. — In facilities that s e rv e minors, a minimum 
of on e staff m e mb e r for e ach five or fewer minor clients 
shall bo on duty during the hours 7:00 a.m. to 1 1:00 p.m. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0104 STAFF TRAINING 

Each facility shall havo and implement written policies and 
proc e dures for staff training. — R e quirem e nts shall includ e tho 
following. 

(1) Each staff member shall havo a training needs 

assessment completed annually and documented. 



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-(2) Each staff mombor shall havo a training plan 

oompl e t e d — annually — and — documentation — of all 
training provid e d ohall inolud e th e following: 

— (a) Each direct caro staff mombor shall receive 

continuing odueation to include understanding of 
th e nature of addiotion, — th e withdrawal syn 
drom e , group th e rapy, family th e rapy and oth e r 
treatment methodologies. 

— (¥) Each direct caro staff mombor in a facility that 

s e rv e s minors ohall r e c e iv e sp e cializ e d training 
in youth developm e nt and th e rap e utio t e chniques 
in working with youth. 
Each facility shall have at least one staff mom 






-(e)- 



-&h 



bor on duty train e d in e aoh of th e following: 
— (i) — oardio pulmonary r e suscitation; 
—fit) — the Heimlich maneuver or other Rod Cross 
first aid techniques for relieving airway ob 
struotiono; 
-(«*) — s eizur e manag e m e nt: 
(iv) — basic first aid; 
— fv-) — substance abuse withdrawal symptoms; and 
(vi) — symptomo of — s e condary — oomplioations — te 
oubstano e abus e . 

Attendance at training activities shall bo docu 

monted for each staff mombor. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0105 PROGRAM PLAN DESCRIPTION 

Eaoh faoility shall hav e writt e n polioi e s and proc e dur e s 
whioh addroos both minors and adulta and whioh sp e oify th e 
following: 

(1) the philosophy of the treatment program; 

—(2) a stat e m e nt of purpos e for th e faoility, inoluding 

it s goals and objectives; 

(3) a description of tho services offered; the popula 

tion served, including age groups and othor rolo 

vant oharaot e ristiofl of th e pationt population; and 

th e m e thods of d e liv e ring s e rvic e s ( e .g., group 

thorapy, didactic presentations, tapes, individual 

counseling); 

a daily sch e dul e of therap e utio activiti e s; 



-(4)- 

-(§} a d e scription of s e rvioos off e r e d for th e family and 

significant othors and how those individuals are 
involved in tho treatment process; and 



acute caro hospital services; and 
aooiotanoo from a local ambulanoo sorvioo, rescue 
squad or othor train e d medical p e rsonnel within 20 
minutes of tho facility. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0107 MEDICAL AND PSYCHIATRIC 
CARE AND SERVICES 

Medioal and psyohiatrio oaro and servic e s shall b e pro 



vid e d aooording to tho following: 

(1) A physician who has at least two years' oxperi 

once in tho treatment of substance abuse shall be 

d e signat e d as th e Medioal Director of tho pro 

gram. 

Tho Medical — Director shall havo the overall 



-m- 



rosponsibility — for medical — services; — however, 
m e dioal oar e and treatment of sp e oifio oli e nts may 
b e d e l e gated to anoth e r physician on tho profos 
sional staff of tho program. 
Medical and psychiatric — caro and services or 



■m- 



consultation shall bo availabl e to e aoh oliont as 



-W- 



-&h 



needed. 

Dotoxification services shall bo provided as dclin 
oatod in 10 NCAC 1 4 N .0200 (NONHOSPITAL 
MEDICAL DETOXIFICATION FOR INDIVID 
UALS WHO ARE SUBSTANCE ABUSERS), 10 
NCAC 1 4 N .0300 (SOCIAL SETTING DETOXI 
FICATION FOR INDIVIDUALS WHO ARE 
ALCOHOLICS), and 10 NCAC HN .0100 
(OUTPATIENT DETOXIFICATION FOR IND1 
VIDUALS WHO ARE SUBSTANCE ABUSERS) 
according to tho typo of dotoxification services 
off e r e d. 



Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0200 - NONHOSPITAL MEDICAL 

DETOXIFICATION FOR 

INDIVIDUALS WHO ARE SUBSTANCE 

ABUSERS 

.0201 SCOPE 

Nonhospital medioal detoxification is a residential facility 
which provides medical treatment and supportive service s 



a d e scription of how tho oli e nt and family mom under th e sup e rvision of a physioian. — This faoility is 



b e rs ar e link e d in thoir hom e communities with 
Alcoholics Anonymous, Narcotics Anonymous, 
Al Anon and othor programs and referral s ourco s . 

Statutory Authority G.S. 122C-26; 143B-147. 

.0106 EMERGENCY MEDICAL SERVICES 

— Eaoh faoility shall hav e and implem e nt written proooduros 
for handling e m e rg e ncy services. — Th e se proc e dures shall 
include provision for tho following: 
— (+) immediate access to a physician; 



designed to withdraw an individual from alcohol or othor 
drugs and to prepare him to enter a more extensive treat 
mont and rehabilitation program. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0202 HOURS OF OPERATION 

— Eaoh facility shall op e rat e 24 hour s p e r day, seven days 
p e r w ee k, 12 months per yoar. 

Statutory Authority G.S. 122C-26; 143B-147. 



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471 



PROPOSED RULES 



.0203 STAFF REQUIRED 

(a) A minimum of ono diroot oare otnff mombor shall b e 
on duty at all times for ovory nine or fowor clients. 
— fb) — Tho treatment of each client ohall bo under the 
Buporvioion of a phyoioian. 

(o) — Tho sorvioeo of a oortifiod alcoholism oounoolor, a 
cortifiod drug abuse counselor or a certified substance abuse 
counselor shall bo available on an as needed basis to each 
cli e nt. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0204 STAFF TRAINING 

(a) Each facility shall hav e at l e ast one otaff m e mb e r on 
duty trained in tho following areas: 

(44 monitoring of vital signs; 

baoio first aid; 



-Q) cardio pulmonary roouooitation; 



soizuro management; 



tho Heimlich maneuver or othor Rod Cross first 

aid techniques for r e li e ving airway obstructions; 
(64 subotano e abus e withdrawal symptoms, inoluding 

dolirium tremens; 

(24 medication education and administration; and 

(&4 symptoms of s e condary oomplioations to sub 

stanc e abus e . 
— (b) Each direct oaro staff mombor shall receive continuing 
education to include understanding of tho nature of addio 
tion. tho withdrawal syndrom e , group th e rapy, — family 
therapy and othor tr e atm e nt methodologi e s. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0205 EMERGENCY MEDICAL SERVICES 

Each facility 1 shall have and implement written procedure s 
for handling medical emergencies. — Those procedures shal l 
inolud e provision for th e following: 

—(4-) imm e diate access to a physician; 

—(34 acute care hospital services; and 

(3) assistance from a local ambulance service, rescue 

squad or oth e r train e d m e dica l p e rsonn e l within 20 
minut e s of th e faoility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0206 MONITORING OF CLIENTS 

Each facility shall have a written policy that requires tho 

following: 

— (-}-) proc e dur e s for th e monitoring of each oliont's 

g e n e ral condition and vital signs during at l e ast th e 
first 72 hours of tho detoxification process; and 

— (24 procedures for monitoring and recording each 

client's pulse rate, blood pressure and t e mp e ratur e 
at l e ast e v e ry four hours for tho first 21 hours and 
at least three times daily thereafter. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0207 REFERRAL TO TREATMENT/ 
REHABILrTATION FACILITY 

Tho facility shall refer each client who has completed 
d e toxification — te — an — outpati e nt — e* — residential — treat 
m e nt/r e habilitation faoility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0300 - SOCIAL SETTING 

DETOXIFICATION FOR INDIVIDUALS 

WHO ARE ALCOHOLICS 

.0301 SCOPE 

Social sotting detoxification is a residential facility which 
provides social support and other non medical services to 
individuals who ar e — e xp e ri e ncing — physioal — withdrawal 
primarily from aloohol. — Individuals r e c e iving this service 
need a structured residential sotting but are not in need of 
physician services; however, back up physician services are 
availabl e , if indioat e d. — Th e faoility is d e sign e d to assist 
individuals in th e withdrawal proooso and to pr e pare thorn to 
ontor a more extensive treatment and rehabilitation program. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0302 HOURS OF OPERATION 

Each faoility shall operate 2 4 hour s per day, seven days 
por week. 12 months p e r y e ar. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0303 STAFF REQUIRED 

(a) A minimum of ono diroot oar e staff m e mber shall b e 
on duty at all times for over) 1 nine or fowor clients. 
— (b) Tho services of a certified alcoholism counselor or a 
c e rtifi e d substanc e abus e oounoolor shall b e availabl e on an 
as needed basis to e aoh client. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0304 STAFF TRAINING 

(a) Each facility shall have at least ono staff member on 
duty trained in tho following areas: 
(44 monitoring of vital signs; 



-m- 



basio first aid; 



-(34 cardio pulmonary resuscitation; 

-(44- 



seizure management; 



-m- 



th e H e imlich man e uver or oth e r R e d Cross first 

aid t e chniqu e s for r e li e ving airway obstructions; 

alcohol withdrawal symptoms, including dolir 

ium tremens; 

— (?4 medioation education and administration; and 

— (S4 symptoms of secondary complications to aloohol 

(b) Each direct care staff member shall receive continuing 



472 



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PROPOSED RULES 



education to include? understanding of the nature of addic 
tion, the withdrawal syndrom e , group therapy, family 
therapy and other treatm e nt m e thodologies). 

Statutory Authority G.S. 122C-26; 143B-147. 

.0305 EMERGENCY MEDICAL SERVICES 

Each facility ohall have and implement written procedures 
for handling medical emergencies. — Those procedures shall 
inolud e provioion for th e following: 

(1) imm e diate aooooo to a phyoioian; 

— (3) acute care hospital services; and 

(3) assistance from a local ambulance service, rescue 

squad or oth e r trainod m e dioal p e rsonn e l within 20 
minut e s of th e faoility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0306 MONITORING OF CLIENTS 

Each facility shall have a written policy that requires the 
following: 

— (-4^ proc e dur e s for the monitoring of e ach cli e nt's 

general oondition and vital signs during at least the 
first 72 hours of the detoxification process: and 

(2) procedures for monitoring and recording each 

client's puls e rat e , blood pr e ssur e and t e mp e ratur e 
at least thr ee tim e s daily for th e first 72 hours 
after admission. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0307 REFERRAL TO TREATMENT/ 
REHABILrTATION FACILrTY 



Th e faoility ohall refer each oli e nt who has oompl e t e d 
d e toxifioation to an outpati e nt or r e sid e ntial tr e atm e nt or 
rehabilitation facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0400 - OUTPATIENT DETOXIFICATION 

FOR INDIVIDUALS WHO ARE 

SUBSTANCE ABUSERS 

.0401 SCOPE 

(a) Outpatient dotoxification is a facility which provides 
p e riodio o e rvio e s — involving th e provioion of supportive 
o e rvio e o, particularly aotive oupport oyet e mo ouch a s family. 
Alcoholics Anonymous and Narcotics Anonymous, under 
the supervision of a physician for clients who arc oxporionc 
ing physioal withdrawal from aloohol and oth e r drugs. 

(b) — Outpatient m e thadon e shall b e e x e mpt from the 
provisions of this Section but shall comply with the provi 
sions delineated under 10 NCAC 1 4 N .0800. 



Statutory Authority G.S. 122C-26; 143B-147. 
.0402 HOURS OF OPERATION 



— Each facility shall operate at least eight houro per day, for 
a minimum of fiv e days per week, 12 months p e r year. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0403 STAFF REQUTRED 

— («) — Th e tr e atm e nt of e aoh olient ohall be und e r the 

supervision of a physician. 

— (b) The services of a certified alcoholism counselor, a 

c e rtifi e d drug abuse oouns e lor or a c e rtified subotanoo abuoo 

oouns e lor shall b e available on an as n ee ded baoio to eaoh 

client. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0404 STAFF TRAINING 

(a) Each facility shall have at least one staff member on 
duty train e d in th e following ar e as: 
(-B monitoring of vital signs; 



-&- 



basic first aid; 



-(3) cardio pulmonary resuscitation; 

-ft} s e izur e management: 

■4$) th e H e imlioh maneuv e r or oth e r R e d Cross firot 

aid techniques for relieving airway obstructions; 
-(6) substance abuse and other drug withdrawal 



-m- 



symptoms, inoluding delirium tremens; 
m e dioation oduoation and administration; and 



(8) symptoms of secondary complications to sub 

stance abuse or drug addiction. 
(b) Eaoh direct oar e staff member ohall receive continuing 
e duoation to inolud e understanding of th e nature of addio 
tion, — the withdrawal — syndrome, — group therapy, — family 
therapy and other treatment methodologies. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0405 EMERGENCY MEDICAL SERVICES 

Eaoh faoility ohall have and impl e m e nt writt e n proo e dur e s 
for handling medioal e m e rg e ncies. — Th e s e proo e dures shall 
include provision for the following: 
— (4-)- immediate access to a physician; 

(2) acut e oar e hospital o e rvio e s; and 



-m- 



assistanc e from a looal ambulanc e service, r e scu e 



s quad or other trainod medical personnel within 20 
minutes of the service. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0406 REFERRAL TO TREATMENT/ 
REHABILrTATION FACILITY 

Th e facility shall r e fer e aoh client who has oomplotod 
dotoxification to an outpatient or residential treatment or 
rehabilitation facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0500 - RESIDENTIAL TREATMENT/ 



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473 



PROPOSED RULES 



REHABILITATION FOR 

INDIVIDUALS WHO ARE 

SUBSTANCE ABUSERS 

,0501 SCOPE 

A r e sidential treatm e nt or rehabilitation faoility for aloohol 
or other drug abusers in a rooidontial o e rvio e whioh provid e o 
aet i vo treatment and a otructurod living environment for 
alcohol or other drug abusers in a group faoility. — Ind i vidu 
alo muot have boon detoxifi e d prior to ent e ring the faoility. 
The oorvioo io d e oigned to e nabl e the ind i vidual to r e turn to 
an independent living oituation w i thin a specific time. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0502 HOURS OF OPERATION 

The facility shall provide services 24 hours per day, seven 
days p e r week, 12 months p e r y e ar. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0503 STAFF REQUIRED 

Ao a minimum, the following staffing patt e rn shall b e 

required: 

— (+) One full time certified alcoholism, drug abuse or 

subotano e abus e oounselor shall b e on staff for 
eaoh 30 or f e w e r b e ds in a single faoility. 

—(2-) Facilities having 1 1 or more bods s hall also add 

one full time qualified alcoholism, drug abuse or 
substano e abus e professional — or on e full tim e 
c e rtifi e d alcohol i sm, — drug abuse or substano e 
abuse counselor for each ton bod increment or 
portion thereafter. 

— Q) Th e staffing requir e m e nts d e lin e at e d in Paragraph 

( 1 ) of this Rul e shall b e r e p e at e d for e aoh addi 
tional 30 bod increment in a single facility. 

-44-) Any qualified alcoholism, drug abuse or substance 

abus e prof e ssional — who is not c e rtified — shaU 
booom e certifi e d by th e North Caro l ina Substano e 
Abuse Professional Certification Board within 26 
months following the effective date of this Rulo, 
or from th e dat e of employm e nt, or from th e dat e 
an unqualifi e d p e rson mooto th e r e quirements to bo 
qualified, whichever is later. 

— {&) A minimum of ono staff member shall bo present 

in th e faoility wh e n cl ie nts ar e pr e s e nt in the 
faoility. 

(6) In facilities that sorvo minors, a minimum of ono 

staff member for each five or fow'or minor clients 
shall b e on duty during waking hours when minor 
cli e nts ar e present. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0504 STAFF TRAINING 

—fa-) — Each staff mombor shall have a training plan com 
plotod annually and documented along with documentation 



of attendance at training event s . 

(b) Eaoh faoility shall hav e at least one staff m e mber on 
duty train e d in the following ar e as: 
(+) cardio pulmonary resuscitation; 

— m- 



-m 



seizure management: 



th e H e imlich maneuv e r or oth e r Rod Cross first 
aid t e chniques for r e li e ving airway obstructions; 
f4) basic first aid; 



(5) aloohol and other drug withdrawal symptoms; 

(6) m e d i oation e duoation and administration; and 

f7} symptoms of s e condary oomplioations to aloohol 

i sm and drug addiction. 

(c) Eaoh direct care staff mombor shall receive continuing 
eduoation to ino l udo understanding of th e nature of addition, 
the withdrawal syndrom e , group therapy, family th e rapy and 
other treatment methodologies. 

(d) Each direct care staff mombor in a facility that servos 
minors shall r e c e iv e sp e cializ e d training in youth d e velop 
mont and thorapoutio t e chniqu e s in working with youth. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0505 EMERGENCY MEDICAL SERVICES 

Each facility shall have and implement written procedures 
for handling medical emergencies. — Those procoduro s shall 
inolud e provision for th e following: 

(1) imm e diate aooess to a physician; 

(2) acuto care hospital services; and 

(3) assistance from a local ambu l ance service, rescue 

squad or other trained medical p e rsonnel w i thin 20 
minutes of th e faoility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0506 TREATMENT/REHABILITATION 
SERVICES 

Each facility shall provide or have acces s to the following 
sorvioos: 

(1) ind i v i dual, group or family th e rapy — for e aoh 

client; 
— f2} educat i onal counseling; 

(3) vooational counseling; 



-f4} job d e v e lopm e nt and placement; 

-t$) money management; 



■<&- 



nutrition education; and 



—(7) r e f e rrals to supportive sorvioos inoluding Aloohol 

iee — Anonymous, — Narootios — Anonymous, — l e gal 
counseling, vocational training and placement. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0507 SCHEDULE OF ACTIVITDZS 

(a) — The facility shall have a written schedule for daily 
routine activities. 

(b) Th e faoility shall e stablish a schedule for th e prov i sion 
of treatment and rehabilitation services. 



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PROPOSED RULES 



Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0700 - OUTPATIENT FACILITIES 

FOR INDIVIDUALS WHO ARE 

SUBSTANCE ABUSERS 



Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0800 - OUTPATIENT METHADONE 

FOR INDIVIDUALS WHO ARE 

NARCOTIC ABUSERS 



.0701 SCOPE 

Outpatient is a periodic service for individuals who abuse 



.0801 SCOPE 

(a) — An outpatient methadone faoility ie a faoility whioh 



alcohol or other drugo. — Outpatient services include individ provides periodic services designed to offer the individual an 



ual, group, family, e duoational and vocational couns e ling. 
Statutory Authority G.S. 122C-26; 143B-147. 

.0703 STAFF REQUIRED 

Th e — s e rvic e s — of a o e rtifi e d — alcoholism couns e lor, — a 
certified drug abuse counselor or a certified substance abuse 
counselor shall bo available on an as nccdod basis to each 
oli e nt. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0704 STAFF TRAINING 

(a) Eaoh faoility staff m e mb e r shall hav e a training plan 
completed annually and documented along with documonta 
tion of attendance at training events. 

— (b) Eaoh faoility shall hav e at l e ast on e staff m e mb e r on 
duty trained in th e following ar e as: 
(4-) oardio pulmonary resuscitation; 



-(2) seizure management; 

-Q) the H e imlioh man e uv e r or oth e r R e d Crooo first 

aid t e chniqu e s for r e li e ving airway obstructions; 

basic first aid; 



-(4)- 



(5) alcohol and other drug withdrawal symptoms; 

(&) modioation e duoation and administration; and 

(3) symptoms of secondary oomplioationo to aloohol 

ism and drug addiction. 

(o) Each direct care staff member shall receive continuing 
e duoation to include understanding of th e natur e of addition, 
th e withdrawal syndrom e , group th e rapy, family therapy and 
other treatment methodologies. 

(d) Each direct care staff member in an outpatient facility 
that servos minors shall r e o e iv e sp e cializ e d training in youth 
d e v e lopm e nt and th e rap e utio t e chniqu e s in working with 
youth. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0705 EMERGENCY MEDICAL SERVICES 

— Eaoh facility shall have and implement written procedures 
for handling m e dioal emerg e nci e s. — Th e se proo e dur e s shall 
inolud e provisions for th e following: 

(1) immediate access to a physician; 

—(2-) acute care hospital services; and 



■m- 



asoistono e from a local ambulanc e sorvioo, rosouo 



squad or oth e r train e d medioal p e rsonnel within 20 
minutes of tho facility. 



opportunity to effect constructive changes in his lifestyle by 
using m e thadon e in oonjunotion with th e provision of 
r e habilitation and m e dioal s e rvio e s. 

(b) — Methadone is also a tool in tho detoxification and 
rehabilitation process of a narcotic dependent individual. 
For the purpose of d e toxifioation, m e thadon e is used as a 
substitut e narootio drug; it is administer e d in d e cr e asing 
doses for a period not to exceed 180 days. — For individuals 
with a history of being physiologically addicted to a narcotic 
for at l e ast on e y e ar b e for e admission to th e sorvioo, 
m e thadon e may also bo used in maint e nance troatmont. — Is 
those cases, it may bo administered or dispensed in excess 
of 1 8 days at relatively stable dosage levels with the 
tr e atm e nt goal of an e v e ntual drug free state. 

Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. 
Part 2 § 291.505; 21 C.F.R. Part 1300. 

,0802 HOURS OF OPERATION 

Each facility shall operate seven days per week, 12 months 
per year. Daily, weekend and holiday medication dispensing 
hours shall b e sohodulod to m ee t th e needs of th e oli e nt. 



Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. 
Part 2 § 291.505. 



.0803 COMPLIANCE WITH FDA/ 
NIDA REGULATIONS 

(a) Each facility shall bo approved by tho Food and Drug 
Administration of th e Unit e d State D e partm e nt of Health and 
Human S e rvic e s and shall b e in oomplianoo with all Food 
and Drug Administration/National Institute on Drug Abuse 
methadone regulations in 21 C.F.R. Part 2 § 291.505. 
Th e s e r e gulations ar e availabl e from tho Food and Drug 
Administration, — Division — ef- — M e thadon e — Monitoring 
(HFN 3 4 0), 5600 Fishers Lano, Roclcvillo, Maryland 20857 
at no cost. 

(b) — Th e mat e rial adopt e d by referonoo in this Rulo is 
adopt e d — in — aooordanoo — with — the — provisions — of G.S. 
150B 1 4 (c). 

Statutory Authority G.S. 122C-26; 143B-147; 150B-14(c); 
21 C.F.R. Part 2 § 291.505. 

.0804 COMPLIANCE WITH DEA 
REGULATIONS 

— f&} — Eaoh faoility shall bo curr e ntly rogist e rod with th e 
Federal Drug Enforcement Administration and shall bo in 



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compliance with all — Drug Enforcement Administration 
rogulationo — pertaining — te — narcotic — tr e atm e nt — programs 
oodified in 21 C.F.R., Food and Drugo, Part 1300 to e nd. 
Those regulations are available from the United States 
Government Printing Office, Washington, DC, 20 4 02 at a 
ooot of four dollars and fifty o e nto ($1,50) p e r copy. 

(b) — The mat e rial adopt e d by referenc e in this Rul e is 
adopted — m — accordance — with — the — provisions — ef — G,S. 
150B 1 4 (c). 

Statutory Authority G.S. 122C-26; 143B-147; 1 SOB- 14(c); 
21 C.F.R. Part 1300. 

.0805 STAFF REQUIRED 

A minimum of one certified drug abus e couns e lor or 
certified substance abuse counselor to each 50 clients shall 
be on the staff of the facility. If the facility falls below this 
pr e scribed ratio, and cannot moot th e pr e scrib e d ratio by 
employing a couns e lor who is o e rtifi e d, th e n it may e mploy 
an uncertified counselor as long as this individual moots the 
certification requirements within a maximum of 26 months 
from the date of employm e nt. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0806 STAFF TRAINING 

(a) Each facility shall hav e at l e ast on e staff m e mb e r on 
duty trained in the following areas: 

(4) basic first aid; 

(4) oardio pulmonary r e susoitation; 

— m- 



s e izur e managem e nt; 
44) tho Heimlich maneuver or other Rod Cross first 

aid tochniquos for relieving airway obstructions; 

44) drug abuse withdrawal symptoms; 

44) m e dioation oduoation; and 



(4} symptoms of secondary complications to drug 

addiction. 
— fb) — Each direct oar e staff m e mb e r shall rec e iv e continuing 
education to includ e und e rstanding of th e natur e of addition, 
the withdrawal s)Tidromo, group therapy, family therapy and 
other treatment methodologies. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0807 EMERGENCY MEDICAL 
SERVICES 

— Each facility shall have and implement writt e n proc e dur e s 
for handling medical emergencies. — These procedures shall 
include provision s for the following: 

(4) imm e diato access to a physician; 

(4) acut e car e hospital serv i ces; and 

(4) assistance — from a — leeal — ambulaneo — service, 

rescue squad, or other trained medical personnel 
within 20 minut e s of th e facility. 

Statutory Authority G.S. 122C-26; 143B-147. 



.0808 TAKE-HOME SUPPLDZS FOR 
HOLIDAYS 

Tak e hom e dosages of m e thadone for holidays shall bo 
authorized by tho facility physician on a case by caao basis 
according to tho following: 

(1) An additional one day supply of methadone may 

b e dispensed to oaoh e ligible oliont (r e gardl e ss of 
time in treatment) for Independence Day, Thanks 
giving, Christmas, Now Year's and other official 
stat e holidays. 

(2) No more than a thr ee day supply of m e thadone 

may bo dispensed to any eligible client because of 
holidays. — Thi3 restriction shall not apply to a 
oli e nt who is rec e iving a six day tak e homo supply 
of m e thadon e . 

Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. § 
291.505. 

.0809 TREATMENT/REHABILITATION 
SERVICES 

Each faoility shall hav e staff to provid e or secure tho 
following s e rvices: 

— fH individual, group or family therapy for each 

client; 

(2) eduoational couns e ling; 

— (4) vocational couns e ling; 

( 4 ) job development and placement; 

(5) money management; 



-&h 



nutrition e ducation; and 



(7) r e f e rrals to supportiv e s e rvio e o inoluding Aloohol 

ies — Anonymous, — Narcotic s — Anonymous, — legal 
counseling, vocational training and plaoomont. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0810 WrTHDRAWAL FROM METHADONE 

Th e withdrawal from m e thadone shall bo dioouos e d with 
oaoh oliont at th e initiation of treatm e nt and at throo month 
intervals thereafter. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0811 CLDZNT DISCHARGE RESTRICTIONS 

No client shall be discharged from tho facility while 
physically d e p e nd e nt upon m e thadon e unloss th e oli e nt is 
provid e d the opportunity to d e toxify from th e drug. 

Statutory Authority G.S. 122C-26; 143B-147. 

SUBCHAPTER 140 - LICENSURE RULES FOR 

FACILITDZS SERVING MORE THAN ONE 

DISABILITY 

SECTION .0300 - RESIDENTIAL THERAPEUTIC 

(HABDLITATIVE) CAMPS FOR 

CHILDREN AND ADOLESCENTS 



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.0301 SCOPE 

(a) — A resid e ntial th e rapoutio (Itabilitativ e ) oamp io a 
rooid e ntial treatment faoility provided in a oamping e nviron 
mont which is designed to help individuals develop behavior 
control, coping skills, self ostoom and interpersonal skills. 



and who has educational preparation in administrative, 

e duoation, social work, nursing, psyohology or a related 

fields 

— (b) Each facility designed primarily to servo campers who 

are mentally retarded or otherwise developmental!) 1 disabled 



Sorviooo may inoludo sup e rvised pe e r int e raction, provision shall hav e a program director who has a minimum of two 

y e ars' e xperienc e in m e ntal retardation or other d e v e lop 
montal disability services, who ha3 oamping oxpononoo, and 
who has educational preparation in administration, oduca 
tion, social work, nursing, psychology or a r e lat e d field. 



of healthy adult rol e models, and sup e rvis e d r e cr e ational, 
educational and therapeutic experiences. 

(b) Each facility shall bo designed to servo children and 
adol e so e nts six through 17 y e ars of age who are e motionally 
disturbed or who hav e m e ntal r e tardation or oth e r d e v e lop 
montal disabilities. 

(c) Thoso Rules aro not applicable to facilities designed 
primarily for r e oroational — purpos e s or thos e subj e ot to 
r e gulation by th e N.C. Divioion of Youth S e rvio e s. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0302 BEDROOM/BATH FACILITIES 

(a) All sleeping units shall provide at least the following 
space: 

ft) 30 squar e f ee t p e r p e rson; 

(3) six foot betwe e n h e ads of sl ee p e rs; and 

(3) 30 inches between sides of bods. 

(b) A minimum of the following shall bo provided: 

(4-) one show e r h e ad for e aoh t e n individuals; 

f2} one flush toil e t for e aoh t e n individuals; and 

(3) one handwashing — facility, — adjacent — to toilot 

facilities, for each 20 individuals. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0303 EQUIPMENT AND SUPPLIES 

(a) — Gasolin e , k e ros e n e and oth e r flammabl e mat e rials 
shall b e stor e d in oov e r e d saf e contain e rs plainly lab e l e d as 
to content. — Storage shall bo in a well vontilatod, secure 
location. 

(b) — All pow e r tools, inoluding mow e rs and trimmers, 
shall have safety mechanisms to pr e v e nt acc i d e ntal e ngag e 
mont of power, shields for sharp edges, and shall bo usod 
according to manufacturer's instruction, maintained in good 
r e pair, and usod only by thos e p e rsons train e d and expori 

e no e d in th e ir safety. Wh e n oamp e ro ar e using suoh 

equipment, a trained and responsible adult shall bo present. 
All power tools shall bo stored in a locked place not 
oooupi e d by individuals when th e tools are not in use. 

(o) — Fir e e xtinguish e rs shall b e availabl e in all ar e as so 
designated by fire officials and shall bo properly charged 
and have a current inspection label. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0304 STAFF REQUIRED 

(a) Eaoh faoility d e sign e d primarily to s e rve oamporo who 
ar e e motionally disturbed shall hav e a program dir e otor who 
has a minimum of two years' exporionco in child or adolos 
cent montal hoalth sorvicos, who has camping experience, 



Statutory Authority G.S. 122C-26; 143B-147. 

.0305 DESIGNATED QUALIFIED 
PROFESSIONAL 

Each client admitted to a facility shall bo receiving 
services from a qualified montal hoalth professional or 
qualifi e d d e v e lopm e ntal disabiliti e s professional, as appro 
priato, who has r e sponsibility for th e oli e nt's treatment, 
program or case management plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0306 STAFF/CAMPER RATIO 

(a) A minimum of two staff members shall bo on duty for 
e v e ry e ight or few e r oamp e rs. 

(b) The omorgonoy on oall staff shall b e r e adily available 
by page and able to roach campers within one hour. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0307 STAFF AVAILABILrTY 

In accordance — with the schedules — developed — by — the 
Program Dir e otor, staff shall maintain th e following distance 
from th e oamp e rs: 

(1) During waking hours, staff shall bo within sight or 

voice range of tho campers. 

—Q) During sleeping hours, staff shall b e looatod 

within voio e range of tho oamp e rs. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0308 TRAINING OF STAFF 

(a) Staff assigned to tho facility shall bo trained to manage 
tho children or adolescents individually and as a group. 

(b) — Eaoh faoility shall hav e at least on e staff m e mber 
trained in basic first aid, oardio pulmonary resusoitation, 
seizure management and tho Heimlich maneuver or other 
Rod Cross first aid techniques for relieving airway obstruc 
tions. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0309 MEDICAL STATEMENT 

— (a) — Eaoh staff m e mber who works dir e ctly and on a 
regularly scheduled basis with clients shall submit a medical 
statement from a licensed physician or an authorized hoalth 



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PROPOSED RULES 



professional under his supervision to the facility at tho time 
of initial employment and annually thereaft e r. 

(b) Tho modioal statem e nt shall b e in any writt e n form 
and shall indicate tho general physical and mental health of 
the — individual — and — any — restrictions — required — by — G.S. 
130A 141 to prevent the transmission within tho faoility of 
tuberculosis or any other communioable dis e ase or condition 
that represents a significant risk of transmission within tho 
facility. 

— (e) — Tho faoility shall keep th e most r e cent m e dioal 
statem e nt on fil e . 

Statutory Authority G.S. 122C-26; 130A-144; 143B-147. 

.0310 PROVISION OF APPROPRIATE ACTIVITIES 

Each facility shall provide activities appropriate to the 
functioning level of the child or adolescent. — Training in 
language and communication skills, fin e and gross motor 
skills, oognitiv e skills, social relationship skills and r e or e 
ation skills shall bo provided in accordance with the needs 
of tho client, as identified in tho troatmont/habilitation plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0311 EMERGENCY MEDICAL TREATMENT 

Emorgonoy medical tr e atmont shall bo available within on e 
hour of tho faoility. 



Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0400 - THERAPEUTIC HOMES 
FOR CHILDREN AND ADOLESCENTS 

.0401 SCOPE 

— (a) A th e rap e utic home is a residential faoility primarily 
located in a private rosidenco which provides professionally 
trained parent substitutes who work intensively with individ 
uals in providing for th e ir living, socialization, th e rap e utic 
and skill learning ne e ds. — Th e par e nt substitutes hav e skills 
and training above thoso of alternative family living service 
providers and recoive close supervision and support from 
program staff. — Th e faoility may utiliz e s e rvio e o from a 
faoility providing tr e atm e nt s e rvio e s ouch as outpati e nt or 
day treatment. 

(b) Services aro designed to provide a healthy adult role 
modol for both e motionally disturb e d childr e n and for those 
children who hav e substanc e abus e relat e d probl e ms. — Th e se 
services aro provided in a home environment and utilize 
other treatment facilities. 

(o) — Each facility shall bo design e d primarily to s e rv e 
oithor e motionally disturb e d childr e n and adol e so e nts. thoso 
children — and — adolescents — with — substance — abuse related 
problems, or both, under 1 8 years of age who need a 
thorap e utio resid e ntial s e tting providing training and support 
toward tho developm e nt of independent living skills. 



Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; 143B-147. 



.0312 PSYCHIATRIC CONSULTATION 

Psychiatric consultation shall be available on an as needed 
basis to tho facility. 

Statutory Authority G.S. 122C-26; 143B-147 

.0313 SCHEDULE OF DAILY ACTIVITIES 

Eaoh faoility shall hav e a written soh e dulo of daily 
activities whioh shall bo post e d in a plac e aoo e ssibl e to 
children or adolescents and staff. 



.0402 CAPACrTY 

Each facility shall servo no more than two individuals. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0403 HOURS OF OPERATION 

Services shall be available for 24 hours per day during 
timos wh e n a client is in rosideno e . 

Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0314 BASIC SAFETY 

— fa) — Each facility shall develop and implement written 
policies and proc e dur e s on banio oar e and saf e ty. 

(b) Th e polici e s and proc e dur e s shall addr e ss at least th e 
following: 

H-) clothing suitable for existing weather conditions; 

(3) cross v e ntilation in all sleeping units; 

(3-) bathing faciliti e s with warm wat e r; 

f+} storage of flammable materials; 

f§) use of tools and sharp instruments; 

(&) us e of cooking faciliti e s and e quipm e nt; and 

f£) b e ds or lock e rs no closer than five foot to any 

heating unit. 



.0404 DESIGNATED QUALIFIED 
PROFESSIONAL 

Each client admitted to a facility shall be receiving 
services from a qualified mental health professional or 
qualifi e d substanc e abus e prof e ssional, as appropriat e , who 
has responsibility for th e client' s tr e atm e nt, program or cas e 
management plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0405 STAFF/CLD2NT RATIO 

A minimum of one therapeutic homo paront shall bo 
present with cli e nts at all — tim e s unless th e d e signated 
qualifi e d prof e ssional has docum e nt e d in th e individual 
client plan that the client may be without supervision in 
certain clearly delineated instances. 



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Statutory Authority G.S. J22C-26; 143B-147. 

.0406 ADMISSION CRITERIA 

— (a) — Admiaaion to tho facility shall bo a joint decis i on of 

tho designated qualified professional, tho provider and tho Each program which provides services through contracts 



Statutory Authority G.S. 122C-26; 143B-147. 

.0411 APPLICATION FOR THERAPEUTIC 
HOME PARENTS 



oli e nt or tho legally r e oponoible p e roon. 

(b) Tho oliont ohall hav e tho opportunity for at l e ast on e 
pro admission visit to tho facility except for an emergency 
admission. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0407 TRAINING OF THERAPEUTIC 
HOME PARENTS 

Th e individual identifi e d as tho therap e utio hom e par e nt 
shall rocoivo pro service training in troatmont s ervices for 
tho client for whom thoy are providing caro. — This training 
shall bo dooumont e d in th e personn e l fil e s. — Training shall 
inolud e , but not be limit e d to, th e following: 

(1) child and adoloscont development; 



with th e th e rap e utio hom e par e nts to oorv e olionto in th e ir 
hom e ohall maintain an applioation fil e whioh inoludos: 

(1) full name of oach person living in tho facility; 

— (3) names of family members responsible for client 

sup e rvision and th e ir sup e rvision sch e dules; and 
— Q) addreoo, directions to and telephon e number of th e 

facility. 



abusing youth and famili e s; 

-f£) symptoms of oubotano e abus e ; 

-(4) needs of emotionally disturbed and substance 

abusing youth in residential settings: 

administration of modioation; 



Statutory Authority G.S. 122C-26; 143B-147. 

.0412 CLINICAL CONSULTATION 

(a) Clinical consultation to oach facility shall bo providod 
by a qualifi e d m e ntal h e alth prof e ssional based on oliont 
needs if a mental health oliont resides in tho facility. 

(b) Clinical consultation shall bo providod to each facility 
-(3) dynamics of emotionally disturbed and substance by a qualified alcoholism, drug abuse or substance abuse 

prof e ssional at l e ast ono e a w ee k if a substanoo abuser 
r e s i d e s in th e facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0413 DAILY ACTIVITIES 

Daily activities shall bo as consistent as possible with tho 
basic — routines of tho family, — including — individual — and 
organization recreational aotivitioo, fiold trips and e xp e ri 
e no e s within tho community. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0414 DAY PROGRAM 

Each client shall participate in a day program dosignod to 
moot his educational, vocational and omploymont noods. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0415 HOUSEKEEPING ACTIVITIES 

— Each oli e nt may bo assign e d to participat e in routine 
housekeeping activiti e s oonsist e nt with his ag e and clinical 
status. 



-&- 

— (6) confidentiality; 

(7) client rights; and 

(8) development of tho individual troatmont plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0408 AGREEMENT WITH THERAPEUTIC 
HOME PARENTS 

(a) Ther e shall b e a written agreement with th e th e rap e u 
tic homo parent, which includes, but is not limited to, tho 
following: 
(4) th e r e sponsibility of th e provid e r; 



-m- 
-m- 



oonfidentiality requirem e nts; and 
responsibility and procedures for socurin 



g omor 



goncy services. 
— fb) — Information r e garding tho client's sp e oifio needs or 
oonditions shall b e giv e n to th e provid e r prior to admission. 
(c) A copy of tho agreement shall bo given to tho thora 
poutic homo parents. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0409 COORDINATION OF TREATMENT 
AND EDUCATION 

(a) Th e oli e nt's e duoational program shall b e coordinat e d 
with his troatmont/habilitation plan. 

— (%) — Troatmont providors and therapeutic homo parents 
shall consult with t e aoh e ro or principals regarding th e oli e nt, 
as w e ll as with juv e nil e court personn e l and oth e r relevant 
caretakers. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0416 PERSONAL HYGDZNE 

— Each client shall bo provided instruction in good health 
praotio e s p e rtaining to personal hygi e n e and grooming. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0500 - DAY ACTIVITY 

.0501 SCOPE 

— Day activity is a day/night service which provides suporvi 



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PROPOSED RULES 



sion and an organized program during a substantial part of 
tho day in a group ootting to adulto and eld e rly individuals) 
who ar e mentally ill or subotanoe abuo e ro. — Participation 
may bo on a ochodulod or drop in baoio, — Tho service is 
designed to support tho individual's personal independence 
and promote oooial, phyoioal and e motional w e ll b e ing 
through aotiviti e o ouoh as oooial okillo d e volopmont, l e iour e 
activitioa, training in daily living skills, improvement of 
health status, and utilization of community resources. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0502 HOURS OF OPERATION 

Eaoh day activity facility shall be availabl e thr ee or mor e 
hours a day on a regularly sch e duled basis at l e ast ono e a 

Statutory Authority G.S. 122C-26; 143B-147. 

.0503 STAFF REQUIRED 

Each facility shall have at least one staff member on site 
at all times when olionto aro pres e nt in the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

,0504 DESIGNATED QUALD7IED PROFESSIONAL 

Each oliont admitted to a facility shall bo r e o e iving 
services from a qualified mental health professional or 
qualified substance abuse professional, as appropriate, who 
has r e oponoibility for th e oliont's treatment, program or oas e 
manag e ment plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0505 PLAN FOR PROGRAM ACTIVITIES 

(a) Each day activity facility shall have planned activities 
which shall include one or more of tho following: 

(4-) development of interpersonal okillo; 

f3} d e v e lopment of daily living okillo ouoh ao m e al 

preparation, monoy management, use of trans 

portation, or leisure time; 
(3} developm e nt of personal oar e okills suoh ao 

grooming, h e alth oar e or nutrition; and 

(4-) assistance with obtaining other needed services. 

(b) — Planned activities shall bo designed to enhance tho 
cli e nt's oooial, phyoioal and e motional w e ll b e ing. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0600 - SHELTERED WORKSHOPS 



who have potential for gainful employment. — This service is 
designed for individuals who hav e d e monstrat e d that they do 
not r e quir e th e int e nsiv e training and otruoturo found in 
programs such as Adult Developmental Activity Programs 
(ADAP) but have not yet acquired tho skills necessary for 
comp e titiv e e mploym e nt. — It provid e s th e individual opportu 
nity to aoquire and maintain life okillo inoluding appropriate 
work habits, specific job skills, self help skills, socialization 
skills, and communication skills. — This service focuses on 
productiv e work aotiviti e o for individuals who hav e potential 
fef — gainful — e mploym e nt — as d e t e rmin e d — by — Vocational 
Rehabilitation Services or tho ability to participate in a 
sheltered employment program. — Sheltered workshops aro 
subj e ct to D e partm e nt of Labor F e d e ral Wage and Hour 
Guid e lin e s for th e Handicapp e d. 

(b) — Tho Rules in this Section specify licensure require 
monts — applicable — te — sheltered — workshops which — serve 
individuals who are primarily m e ntally retard e d or otherwise 
dev e lopm e ntally disabl e d; how e v e r, individuals with m e ntal 
illness, substance abuse and severely physically disabled 
individuals may also be served within a sholtored workshop. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0602 COMPLIANCE WITH OTHER RULES 

Sholtored workohopo whioh ar e subj e ct to rul e s and 
rogulationo of th e North Carolina Division of Vocational 
Rehabilitation Services shall not bo subject to licensure 
under tho provisions of G.S. 122C, Article 2. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0603 HOURS OF OPERATION 

— Eaoh faoility shall bo availabl e for oliont attendanc e at l e ast 
oix hours p e r day ( e xoluoiv e of tranoportation tim e ), fivo 
days per week, 12 months per year. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0604 PHYSICAL PLANT REQUD1EMENTS 

(a) Each facility shall bo inspected annually by an outside 
saf e ty consultant with writt e n docum e ntation and follow up 
on rooomm e ndationc. 

(b) — Each facility shall bo designed and equipped to 
promote the training and adult status of clients. 
— («-) — Each faoility shall e liminate architectural barriers 
which prohibit aooess to th e building and us e of e quipm e nt 
and facilities. 

(d) Each facility shall provide adequate toilet facilities and 
drinking fountains for oli e nto. 



.0601 SCOPE 

— {ft) — A sheltered workshop is a day/night service which 
provides work ori e nt e d s e rv i c e s inoluding various oombina 
tione of evaluation, dev e lopm e ntal okillo training, vooational 
adjustment, job placement, and sholtored employment to 
individuals of all disability groups 16 years of ago or over 



Statutory Authority G.S. 122C-26; 143B-147. 

.0605 PROVISION FOR CLASSROOM SPACE 

— Eaoh faoility shall hav e designated spao e for olaooroom 
activities. 



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Statutory Authority G.S. 122C-26; 143B-I47. 

.0606 PROGRAM DIRECTOR 

(a) Each facility shall have n designated fall time program 
director. 

(b) — Tho Program Director ohall hav e a baooalauroat e 
degre e with on e year of e xpori e noo in mental r e tardation or 
other developmental dioability rehabilitation programming; 



BY CLIENTS 

— Cli e nts s e rv e d by th e facility shall bo onoourag e d to us e 
publio transportation if availabl e . 

Statutory Authority G.S. 122C-26; 143B-147. 

.0613 CLIENT HANDBOOK 

— (a) Each facility shall have a client handbook including, 
bo a high school graduate or equivalent with throe years of at a minimum, information about its services and activities. 



-fb) — Th e oli e nt handbook shall b e writt e n in a mann e r 
oompr e h e nsibl e to oli e nts and r e flective of adult status. 
— (c) Each client shall bo given a handbook and tho hand 
book shall bo reviewed with tho client. 

Statutory Authority G.S. I22C-26; 143B-147. 

,0614 ACTIVITIES AND SERVICES 

— (*) — Activiti e s and services shall b o design e d and impl e 
m e nt e d with adh e r e ne e to th e principl e s of normalization. 
— fb) — Activities shall bo provided in group s designed to 
promot e community integration. 

other d e velopm e ntal disability programming or bo a high (c) — Activiti e s and servic e s shall bo aim e d at incr e asing 

Gohool graduat e or equival e nt with thr ee y e ars of e xp e ri e nc e 

in mental retardation or other developmental disability 

programming. 



exporienoo in mental retardation or oth e r developmental 
dioability programming; or b e a high sohool graduat e or 
equivalent with three years of exporienoo in business or 
personnel management. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0607 PROGRAM COORDINATOR 

(a) Eaoh faoility ohall have a d e signat e d program ooordi 
nator. 

—(b) — Tho program coordinator shall have a baocalauroato 
degree with one year of experience in mental retardation or 



Statutory Authority G.S. 122C-26; 143B-147. 

.0608 CLIENT/STAFF RATIO 

Eaoh faoility ohall maintain an ov e rall direot s e rvio e ratio 
of at l e aot on e full tim e or full tim e e quival e nt dir e ct oar e 
staff member for each ton or fewer clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0609 CLIENT EVALUATOR 

(a) — At least one staff member shall bo designated as a 



oli e nt e valuator. 



ag e appropriat e — aotions, — imag e — and — app e aranc e — of th e 
clients. 

(d) — Activities and services shall be directed toward tho 
pr e paration of th e oli e nt to liv e as ind e p e nd e ntly as possible. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0615 BUSINESS PRACTICES 

(a) — Suppli e s, mat e rials or tools, if provid e d by th e 
sheltered workshop, shall bo identified as a separate amount 
in tho bid prico. 

(b) — Wag e s paid to cli e nts shall b e on a pi e c e rat e or 
hourly comm e nsurat e wage. 

— (c) Each client involved in productive work s hall receive 
a written statement for each pay period which indicates 
gross pay. hours work e d and d e ductions. 



(b) Th e oli e nt e valuator shall hav e at l e ast a high sohool (d) Prio e o for goods produc e d in th e faoility shall b e e qual 



diploma, and shall havo completed a fivo day insorvico 
training program in tho evaluation oomponont of a licen s ed 
ADAP or sh e lt e r e d workshop or in anoth e r training program 
approv e d by DMH/MR/SAS. 

Statutory Authority G.S. 122C-26; 143B-147. 

.061 1 PROMOTION OF CLIENTS' 
RIGHTS 

Clients ohall bo counseled concerning their rights and 



to or exceed tho cost of production (including commensurate 
wages, overhead, tools and materials). 

Statutory Authority G.S. I22C-26; 143B-147. 

.0617 SAFETY COMMITTEE 

— (ft) — A saf e ty oommitt ee oompris e d of staff m e mb e rs and 
oli e nt r e pr e s e ntatives s hall b e appoint e d to r e view accid e nt 
report s and to monitor tho facility for safety. 
— (b) — The safety committee shall meet at lea s t quarterly, 
r e sponsibiliti e s ao participants — in tho program — in such — (o) Minut e s shall b e k e pt of all m ee tings and s ubmitt e d to 



matt e rs as wag e s, hours, working conditions, social s e cu 
rity, redress for injury and tho consequences of their own 
tortuous or unethical conduct. 



Statutory Authority G.S. 122C-26; 143B-147. 
.0612 USE OF PUBLIC TRANSPORTATION 



th e Program Dir e ctor w i th r e comm e ndation s for n ee d e d 
changes. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0618 SAFETY EDUCATIONAL PROGRAM 

— Each facility shall provide an ongoing educational program 



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481 



PROPOSED RULES 



for staff and clients designed to teach them the principles of 
accid e nt pr e v e ntion and control of sp e cific hazards. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0700 - SUPERVISED LIVING 

.0701 SCOPE 

(a) — Supervised living is the designation of a 2 4 hour 
facility which provid e s r e sid e ntial servic e s to individuals in 
a hom e environment where the primary purpos e of th e s e 
services is the care, habitation or rehabilitation of individu 
als who have a mental illness, a developmental disability or 
disabiliti e s, or who have a substanc e abus e probl e m, and 
who r e quire supervision when in th e r e sid e nc e . 
— fb} — A s upervised living facility shall be licensed if the 
facility s erve s : 

(4-) one or more clients und e r th e ag e of 1 8 ; or 

(-24 two or more adult clients. 

Statutory Authority G.S. 143B-147. 

.0702 HOURS OF OPERATION 

Each facility shall be available to meet the needs of the 
clients 2 4 hours per day. 365 days per year. 

Statutory Authority G.S. 143B-147. 

0703 CAPACITY 

(a) A facility s hall s e rv e no more than thr ee cli e nts wh e n: 

(44 th e cli e nt lives with a family; and 

f24 the family provides the service. 

(b) — With the exception of Paragraph (a) of this Rulo. -a 
facility shall serv e no more than six cli e nt s wh e n th e cli e nts 
hav e mental illn e ss or developm e ntal disabiliti e s. 

(c) Any facility currently licensed on the effective date of 
this Rule, and providing services to more than six clients- 
may continue to provid e s e rvic e s at no mor e than the 
facility's lic e ns e capacity as of th e e ff e ct i ve dat e of this 
Rule. The currently licensed facilities serving more than six 
clients are: 

(44 10 NCAC ML .0500. Group Hom e s for Adult 

and Eld e rly Individuals Who ar e M e ntally III; 

m 10 NCAC 1 4 M .0300, Group Homes for Adults 

with M e ntal R e tardation or Oth e r D e v e lopm e ntal 
Di s abilitie s . 

Statutory Authority G.S. 143B-147. 

.0704 STAFF REQUIREMENTS 

— (a) Staff client ratio s s hall be designed to provide staff to 
respond to individualized client needs. 
— (-b-> — A minimum of on e staff m e mber shall b e pr e s e nt at 
all tim e s when any adult cli e nt is on th e pr e mis es , e xc e pt 
when approval has boon given for the client to remain 
unsupervised in the home, and provided that: 



(-H the client has boon deemed capable of remaining 

in th e hom e without sup e rvision for a sp e cifi e d 
tim e by a qualifi e d prof e ssional of the op e rating 
agency or area program; and 

f24 the approval is documented in the client's ro 

cord, 
(o) — Staff shall b e pr e s e nt in a facility in th e following 

client staff ratios when more than one child or adolescent 

client is pre s ent: 



444- 



ohildr e n or adol e sc e nts with mental illn e ss or 



424- 



e motional disturbanc e shall be s e rv e d with one 
staff present — for each — four or fewer clients 
present; 

childr e n or adol e sc e nts with substance abuse 
shall b e s e rv e d with a minimum of on e staff 
present for each five or fewer minor clients 
present during waking hours; or 
childr e n — or adol e sc e nts — with — developmental 
disabiliti e s shall be served with on e staff pr e sent 
for each one to three clients present and two 
staff for each — four or more clients present. 
How e v e r, only on e staff m e mber need b e pr e s 
e nt during sl ee ping hour s if emerg e ncy back up 
procedures are sufficient to allow only one staff 
member on duty. 



434- 



Statutory Authority G.S. 143B-147. 



.0705 SPECIAL STAFFING REQUIREMENTS 

(a) — In faciliti e s which s e rv e cli e nts who ar e substanc e 
abus e rs: 



444 at least one staff member who is on duty shall 

be trained in alcohol and other drug withdrawal 
symptoms and symptoms of s e condary oomplica 
tions to alcohol and oth e r drug addiction: 

424 when the clients are minors, — staff shall be 

trained in youth development and therapeutic 
t e chnique s in working with youth; and 



-m- 



th e s e rvic e s of a c e rtifi e d alcoholism couns e lor. 



a certified drug abuse counselor or a certified 
substance abuse counselor s hall be available on 
an as ne e d e d basis for e ach cli e nt. 
— (4>) — In faciliti e s which s e rv e individual s with b e havior 
disorders, in addition to developmental disabilities, the staff 
shall include at least one staff member who has received 
training — in — th e ar e a — of b e havior — manag e m e nt — through 
e ducational pr e paration in special e ducation, p s ychology or 
a closely related field. 

Statutory Authority G.S. 143B-I47. 

.0706 MEDICAL STATEMENT 

— fa} — Each staff member who works direct l y with client s 
shall submit to th e facility a m e dical stat e m e nt that has been 
compl e t e d within 30 days of e mploym e nt, from a licensed 
physician or an authorized health professional under the 
supervision of a phy s ician and annually th e reafter. 



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(b) — Tho medical statement shall bo in writing and shall 
indicat e th e g e n e ral h e alth of th e individual and any restrie 
t i ono r e quired by G.S. 130A 144 to pr e v e nt th e transmio 
sion, within tho facility, — of tuberculos i s or any other 
communicable disease or condition that represents a 3ignifi 
oant riok of tranomiooion within th e faoility. 
— (^ — Th e faoility — shall keep the most r e c e nt — m e d i oal 
statement on file. 

Statutory Authority G.S. 143B-147. 

.0707 SERVICE COORDINATION 

Coordination shall bo maintained between the facility 
op e rator and tho qualified prof e soional who 10 r e sponsibl e 
for treatm e nt/habilitation or cas e manag e m e nt. 

Statutory Authority G.S. 143B-147. 

.0708 PROGRAM ACTIVITIES 

— (a) Each client shall have the opportunity to participate in 

normal independent living activities. 

— (b) Eaoh client ohall b e involv e d in tr e atm e nt, r e habilita 

tion. — vocational. — e ducational, — e mploym e nt. — soc i al — and 

community activities on a regular basis in accordance with 

tho needs of tho client. 

— (o) For e aoh client with a d e v e lopm e ntal disability, staff 

shall prov i d e daily training aotivit ieG in accordance with th e 

client's needs. 



Statutory Authority G.S. 143B-147. 

.0709 CLIENT TRAINING IN HEALTH 
AND SAFETY 

(a) — Eaoh adol e sc e nt and adult oli e nt shall r e c e iv e training 
and bo giv e n opportuniti e s to obtain ind e p e nd e nt living 
sfemsr 

(b) — Eaoh client shall rocoivo instructions in obtaining 
s e rvic e s in e m e rg e ncy situations. 

Statutory Authority G.S. 143B-147. 

.0710 PARTICIPATION OF THE FAMILY 

OR LEGALLY RESPONSIBLE PERSON 

(a) Each client's family shall bo provided tho opportunity 
to maintain an ongoing relationship w i th thoir relative 
through such m e ans as family visits to tho faoility and visits 
with tho family outside th e facility. 

— (fe) — Reports to tho parent of a minor resident, or the 
legally responsible porson of an adult resident, shall bo 
submitted at l e ast annually. — Reports may b e in writing or 
tak e the form of a conf e ronoo and ohall focus on tho oliont'o 
progress toward meeting indiv i dual goals. 

Statutory Authority G.S. 143B-147. 

SUBCHAPTER 14V - RULES FOR 
MENTAL HEALTH, DEVELOPMENTAL 



DISABILITIES, AND SUBSTANCE ABUSE 
FACILITIES AND SERVICES 

SECTION .0100 - GENERAL INFORMATION 

.0101 SCOPE 

(a) This Subchapter sets forth Rules for mental health, 
developmental disability and substance abuse services, the 
facilities and contract agencies providing such services, and 
the area programs administering such services within the 
scope of G.S. 122C. 

(b) These Rules and the applicable statutes govern 
licensing of facilities and accreditation of programs and 
services. 

(1) Facilities are licensed by the Division of Facili- 
ties Services (DFS) in accordance with G.S. 1 22 
and these Rules. Licensable facilities as defined 
in G.S. 122C-3 shall comply with these Rules to 
receive and maintain the license s required by the 
statute. 

(2) Area programs are accredited by the Division of 
Mental Health, Developmental Disability, and 
Substance Abuse Services (DMH/DD/SAS) on 
a service by service basis in accordance with 
these Rules. Area programs and their contract 
agencies shall comply with the Rules to maintain 
accreditation of their programs and services. 

(c) Except as provided in Paragraph (d) of this Rule, 
when a facility or area program contracts with a person to 
provide services within the scope of these Rules, the facility 
or area program shall require that the contract services be 
provided in accordance with these Rules, and that the 
service provider be licensed if it is a licensable facility or 
accredited by the area program if it is a contract agency 
providing area program services. 

(d) Fee-for-service contracts with an individual or group 
of individuals licensed under other provisions of state law do 
not require licensing or accreditation under this section, 
however, the contracts shall specify that services be docu- 
mented as required by these Rules. 

(e) These Rules are organized in the following manner: 

(1) General Rules governing mental health, develop- 
mental disability and substance abuse services 
are contained jn Sections .0100 through .0900. 
These Rules are "core" Rules that, unless other- 
wise specified, apply to aM programs and facili- 
ties. 

(2) Service-specific Rules are contained in Sections 
.1000 through .6900. Generally, Rules related 
to service-specific facilities and services are 
grouped: 

(A) .1000 - .1900: Mental Health 

(B) .2000 - .2900: Developmental Disabilities 

(C) .3000 - .4900: Substance Abuse 

(D) .5000 ; .6900: Services and Facilities for 



Ql 



More Than One Disability. 
Service-specific Rules may modify or expand the 



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483 



PROPOSED RULES 



requirements of core Rules. 
[f) Failure to comply with these Rules shall be grounds 
for DFS to deny or revoke a license or for DMH/DD/SAS 
to deny or revoke area program service accreditation. 



Statutory Authority G.S. 122C-23; 
143B-147. 



122C-24; 122C-26; 



.0102 COPIES OF RULES 

Copies of these Rules are available from DMH/DD/SAS 
at a price to cover printing, handling and postage. 



Statutory Authority G.S. 
143B-147. 



122C-23; 122C-24; 122C-26; 



.0103 GENERAL DEFINITIONS 

(a) This Rule contains definitions that apply to all of the 
Rules in this Subchapter. 

(b) Unless otherwise indicated, the following terms shall 
have the meanings specified: 

(1) "Accreditation" means the designation given a 
service by DMH/DD/SAS. an area program, or 
an approved accreditation body, indicating 
compliance with the standards for accreditation 
established in these Rules. 

(2) "Administering medication" means direct appli- 
cation of a drug to the body of a client by 
injection, inhalation, ingestion, or any other 
means. 

(3) "Adolescent" means a minor from 13 through 17 
years of age. 

(4) "Adult" means a person 18 years of age or older 
or a person under 18 years of age who has been 
married or who has been emancipated by a court 
of competent jurisdiction or is a member of the 
armed forces. 

(5) "Alcohol abuse" means psychoactive substance 
abuse which is a residual category for noting 
maladaptive patterns of psychoactive substance 
use that have never met the criteria for depend- 
ence for that particular class of substance and 
which continues despite adverse consequences. 
The criteria for alcohol abuse delineated in the 
DSM IV published by the American Psychiatric 
Association. 1400 K Street. N.W.. Washington, 
D.C. 20005 at a cost of thirty nine dollars and 
ninety -five cents l $39.95 ) for the soft cover 
edition and fi ftv four dollars and ninety-five 
cents ($54.95) for the hard cover edition, is 
incorporated by reference. This incorporation by 
reference does not include subsequent amend- 
ments and editions of the referenced material. 

(6) "Alcohol dependence" means psychoactive 
substance dependence which is a cluster of 
cognitive behavioral, and physiologic symptoms 
that indicate that a person has impaired control 
of psychoactive substance use and continues use 



m 



m 

(9) 

10) 



an 

(12) 



LLU 
(14) 

15) 



(16) 



(17) 



of the substance despite adverse consequences. 
The criteria for alcohol dependence delineated in 
the DSM IV published by the American Psychi- 
atric Association. 1400 K Street, N.W., Wash- 
ington, D.C. 20005 at a cost of thirty nine 
dollars and ninety-five cents ($39.95) for the 
soft cover edition and fifty four dollars and 
ninety-five cents ($54.95) for the hard cover 
edition is incorporated by reference. This 
incorporation by reference does not include 
subsequent amendments and editions of the 
referenced material. 

"Area program" means a legally constituted 
public agency providing mental health, develop- 
mental disabilities and substance abuse services 
for a catchment area designated by the commis- 
sion. For purposes of these Rules, the term 
"area program" means the same as "area author- 
ity" as defined in G.S. 122C-3. 
"Assessment" means a procedure for determin- 
ing the nature and extent of the need for which 
the individual is seeking service. 
"Child" means a minor from birth through 12 
years of age. 

"Children and adolescents with emotional distur- 
bance" means minors from birth through 17 
years of age who have behavioral, mental, or 
emotional problems which are severe enough to 
significantly impair their ability to function at 
home, in school, or in community settings. 
"Client" means the same as defined in G.S. 
122C-3. 

"Client record" means a documented account, 
which may be written, computerized, etc., of 
all services provided a client from the time of 
admission of the client by the facility until 
discharge from the facility. 
"Commission" means the same as defined in 
G.S. 122C-3. 



(19) 



"Contract agency" means a legally constituted 
entity with which the area program contracts for 
a service exclusive of intermittent purchase of 
service for an individuai'v identified client. 
"Day/night service" means a service provided on 
a regular basis, in a structured environment that 
is offered to the same individual for a period of 
three or more hours within a 24-hour period. 
"Detoxification" means the physiological with- 
drawal of an individual from alcohol or other 
drugs in order that the individual can participate 
in rehabilitation activities. 
"DFS" means the Division of Facility Services. 
701 Barbour Drive, Raleigh. N.C. 27603. 
"Direct care staff" means an individual who 
provides active direct care, treatment, rehabilita- 
tion or habilitation services to clients. 
"Division Director" means the Director of 



484 



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PROPOSED RULES 



> 



DMH/DD/SAS. 

(20) "DMH/DD'SAS" means the Division of Mental 
Health, Developmental Disabilities, and Sub- 
stance Abuse Services, 325 N. Salisbury Street, 
Raleigh, N.C. 27603. 

(21 ) "Documentation" means provision of written or 
electronic, dated and authenticated evidence of 

the delivery of client services or compliance (28) 

with statutes or Rules, e.g., entries in the client 
record, policies and procedures, minutes of 
meetings, memoranda, reports, schedules, 
notices and announcements. (29) 

(22) "Drug abuse" means psychoactive substance 

abuse which is a residual category for noting (30) 

maladaptive patterns of psychoactive substance 
use that have never met the criteria for depend- 
ence for that particular class of substance which (31) 
continues despite adverse consequences. The 
criteria for drug abuse delineated in the - DSM (32) 
IV published by the American Psychiatric Asso- 
ciation, 1400 K Street. N.W., Washington, D.C. 
20005 at a cost of thirty nine dollars and ninety- 
five cents ($34.95) for the soft cover edition 
and fifty four dollars and ninety-five cents 
($54.95) for the hard cover edition is incorpo- 
rated by reference. This incorporation by (33) 
reference does not include subsequent amend- 
ments and editions of the referenced material. 

(23) "Drug dependence" means psychoactive sub- 
stance dependence which is a cluster of cognitive 
behavioral, and physiologic symptoms that 
indicate that a person has impaired control of (34) 
psychoactive substance use and continues use of 

the substance despite adverse consequences. (35) 

The criteria for drug dependence delineated in 
the DSM IV published by the American Psychi- 
atric Association, 1400 K Street, N.W., Wash- (36) 
ington, D.C. 20005 at a cost of thirty nine 
dollars and ninety-five cents ($34.95) for the 
soft cover edition and fifty four dollars and 
ninety-five cents ($54.95) for the hard cover 
edition is incorporated by reference. This (37) 
incorporation by reference does not include 
subsequent amendments and editions of the 
referenced material. 

(24) "DWI" means driving while impaired, as de- 
fined in G.S. 20-138.1. (38) 

(25) "Evaluation" means an assessment service which 
identifies the nature and extent of an individual's 

need, through a systematic appraisal, for the (39) 

purposes of diagnosis and determination of the 
disability of the individual and the most appro- (40) 

priate plan, if any, for services. 

(26) "Facility" means the same as defined i_n G.S. 
122C-3. 

(27) "Foster parent" means an individual who p ro- 
vides substitute care for a planned period for a (41 ) 



child when his own family or legal guardian 
cannot care for him; and who is licensed by the 
N.C. Department of Human Resources and 
supervised by the County Department of Social 
Services, or by a private program licensed or 
approved to engage in child care or child placing 
activities. 

"Governing body" means, jn the case of a 
corporation, the board of directors; in the case 
of an area authority, the area board; and in all 
other cases, the owner of the facility. 
Habitation" means the same as defined in 



G.S. 



22C-3. 



"Hearing" means, unless otherwise specified, a 

contested case hearing under G.S. 150B, Article 

3, 

"Infant" means an individual from birth to one 



year of age. 

"Individualized education program" means a 
written statement for a child with special needs 
that is developed and implemented pursuant to 
16 NCAC 2E .1500 (Rules Governing Programs 
and Services for Children with Special Needs) 
available from the Department of Public Instruc- 
tion. 

"Inpatient service" means a service provided in 
a hospital setting on a 24-hour basis under the 
direction of a physician. The service provides 
continuous, close supervision for individuals 
with moderate to severe mental or substance 
abuse problems. 

"Legend drug" means a drug that cannot be 
dispensed without a prescription. 
"License" means a permit to operate a facility 
which is issued by DFS under G.S. 122C. 
Article 2. 

"Medication" means a substance recognized in 
the official "United States Pharmacopoeia" or 
"National Formulary" intended for use in the 
diagnosis, mitigation, treatment or prevention of 
disease. 

"Minor" means a person under 18 years of age 
who has not been married or who has not been 
emancipated by a decree issued by a court of 
competent jurisdiction or is not a member of the 
armed forces. 

"Operator" means the designated agent of the 
governing body who is responsible for the 
management of a licensable facility. 
"Parent" means the legally responsible person 
unless otherwise clear from the context. 
"Periodic service" means a service provided on 
an episodic basis, either regularly or intermit- 
tently, through short, recurring visits for persons 
yvith mental illness, developmental disability or 
who are substance abusers. 
"Private facility" means a facility not operated 



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PROPOSED RULES 



(42) 
(43) 
(44) 

(45) 
(46) 



(47) 
(48) 



(49) 
(50) 
(51) 
(52) 

(53) 



(54) 
(55) 

(56) 



by or under contract with an area program. 
"Provider" means an individual, agency or 
organization that provides mental health, devel- 
opmental disabilities or substance abuse ser- 
vices. 

"Rehabilitation" means training, care and spe- 
cialized therapies undertaken to assist a client to 
reacquire or maximize any or all lost skills or 
functional abilities. 

"Residential service" means a service provided 
in a 24-hour living environment in a non-hospital 
setting where room, board, and supervision are 
an integral part of the care, treatment, habilita- 
tion or rehabilitation provided to the individual. 
"School aged children" means children from six 
through twenty -one years of age. 
"Screening" means a service which provides for 
a brief appraisal of each individual who pres- 
ents himself for services, in order to determine 
the nature of the individual's problem and his 
need for services. Screening may also include 
referral to other appropriate community re- 
sources. 

"Secretary" means the Secretary of the Depart- 
ment of Human Resources or designee. 
"Service" means an activity or interaction in- 
tended to benefit another, with, or on behalf of, 
an individual who is in need of assistance, care, 



habitation, intervention, rehabilitation or treat- 
ment. 
"Service plan" means the same as treat- 



ment/habilitation plan defined in this Section. 
"Staff member" means any individual who is 
employed by the facility. 

"State facility" means the term as defined in 
G.S.122C. 

"Support services" means services provided to 
enhance an individual's progress in Ins primary 
treatment/habilitation program. 
"System of care" means a spectrum of commu- 
nity based mental health and other necessary 
services which are organized into a coordinated 
network to meet the multiple and changing needs 
of emotionally disturbed children and adoles- 
cents. 

"Toddler" means an individual from one through 
two years of age. 

"Treatment" means the process of providing for 
the physical, emotional, psychological and social 
needs of clients through services. 
"Treatment/habilitation plan" means a plan in 
which one or more professionals, privileged in 
accordance with the governing body's policy, 
working with the client and family members or 
other service providers, document which inter- 
ventions will be provided and the goals, objec- 
tives and strategies that will be followed in 



providing services to the client. A treatment 
plan may also be called a service plan. 
(57) "Twenty-four hour service" means a service 

which is provided to a client on a 24-hour 
continuous basis. 

Statutory Authority: G.S. 122C-3; 122C-26; 143B-147. 

.0104 STAFF DEFINITIONS 

The following credentials and qualifications apply to staff 
described in this Subchapter: 



LU 

01 

14} 
01 

m 
m 



{31 



m 



10) 



"Certified counselor" means a counselor who is 
certified as such by the North Carolina Counsel- 
ing Association as Licensed Professional Coun- 
selors (LPC). 

"Certified alcoholism counselor (CSAC)" means 
an individual who is certified as such by the 
North Carolina Substance Abuse Professional 
Certification Board. 

"Certified drug abuse counselor (CDAC)" means 
an individual who is certified as such by the 
North Carolina Substance Abuse Professional 
Certification Board. 

"Certified substance abuse counselor (CSAC)" 
means an individual who is certified as such by 
the North Carolina Substance Abuse Professional 
Certification Board. 

"Clinical" means having to do with the active 
direct treatment/habilitation of a client. 
"Clinical staff member" means a professional 
who provides active direct treatment/habilitation 
to a client. 

"Clinical/professional supervision" means regu- 
larly scheduled assistance by a qualified mental 
health professional, a qualified substance abuse 
professional or a qualified developmental disabil- 
ities professional to a staff member who is 
providing direct, therapeutic intervention to a 
client or clients. The purpose of clinical super- 
vision is to ensure that each client receives 
appropriate treatment or habilitation which is 
consistent with accepted standards of practice 
and the needs of the client. 
"Clinical social worker" means a social worker 
who is licensed as such by the N.C. Board of 
Social Work. 

"Nurse" means a person licensed to practice in 
the State of North Carolina either as a registered 
nurse or as a licensed practical nurse. 
"Psychiatric nurse" means an individual who is 
licensed to practice as a registered nurse in the 
State of North Carolina by the North Carolina 
Board of Nursing and who is a graduate of an 
accredited master's level program in psychiatric 
mental health nursing with two years of experi- 
ence, or has a master's degree in behavioral 
science with two years of supervised clinical 



486 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



) 



experience, or has four years of experience in 
psychiatric mental health nursing. 

(11) 'Psychiatric social worker" means an individual 
who holds a master's degree in social work from 
an accredited school of social work and has two 
years of clinical social work experience. 

(12) "Psychiatrist" means an individual who is H; 
censed to practice medicine in the State of North 
Carolina and who has completed an accredited 
training program in psychiatry. 

(13) "Psychologist" means an individual who is 
licensed to practice psychology in the State of 
North Carolina. 

(14) "Qualified alcoholism professional" means an 
individual who is certified as such by the North 
Carolina Substance Abuse Professional Certifica- 
tion Board or who is a graduate of a college or 
university with a baccalaureate or advanced 
degree in a human service related field with 
documentation of at least two years of super- 
vised experience in the profession of alcoholism 
counseling. 

(15) "Qualified client record manager" means an 
individual who is a graduate of a curriculum 
accredited by the Council on Medicai Education 
and Registration of the American Health Infor- 
mation Management Association and who is 
currently registered or accredited by the Ameri- 
can Health Information Management Associa- 
tion. 

(16) "Qualified developmental disabilities profes- 
sional" means an individual who is. 

(a) a graduate of a college or university with an 
advanced degree in a human service related 
field with documentation of at least one year of 
supei~vised experience in developmental dis- 
abilities; 

(b) a graduate of a college or university with a 
baccalaureate degree in a discipline related to 
developmental disabilities and at least two 
years of supervised habilitative experience in 
working with individuals with developmental 
disabilities; or 

(c) a graduate of a college or university with a 
baccalaureate or advanced d egree in a field 
other than one related to developmental dis- 
abilities and having three years of supervised 
experience in working with individuals with 
developmental disabilities. 

"Qualified drug abuse professional" means an 
individual who is: 

(a) certified as such by the North Carolina Sub- 
stance Abuse Professional Certification Board; 

(b) a graduate of a college or university with an 
advanced degree in a human service related 
field with documentation of at least one year of 
supervised experience in the profession of drug 



07 



abuse counseling; or 
(c) a graduate of a college or university with a 
baccalaureate or advanced degree in a human 
service related field with documentation of at 
least two years of supervised experience in the 
profession of drug abuse counseling. 

( 18) 'Qualified mental health professional" means an 
individual who is: 

(a) psychiatric nurse, practicing psychologist, or 
a psychiatric social worker; 

(b) graduate of a college or university with an 
advanced degree in a related human service 
field and two years of supervised clinical 
experience in mental health services: or 

(c) a graduate of a college or university with a 
baccalaureate degree in a related human ser- 
vice field and four years of supervised clinical 
experience in mental health services. 

( 19) "Qualified substance abuse professional" means 
an individual who is: 

(a) certified as such by the North Carolina Sub- 
stance Abuse Professional Certification Board; 
or 

(~b) a graduate of a college or university with an 
advanced degree in a human service related 
field with documentation of at least one year of 
supervised experience in the profession of 
alcoholism and drug abuse counseling; or 

(c) a graduate of a college or university with a 
baccalaureate in a human service related field 
with documentation of at least two years of 
supervised experience in the profession of 
alcoholism and drug abuse counseling. 

Statutory Authority G.S. 122C-3; 122C-26; 143B-147. 

SECTION .0200 - OPERATION AND 
MANAGEMENT RULES 

.0201 GOVERNING BODY POLICIES 

(a) The governing body responsible for each facility or 
service shall develop and implement written policies for the 
following: 

(1) delegation of management authority for the 
operation of the facility and services; 
criteria for admission; 
criteria for discharge; 



{21 

[4] 



admission assessments, including: 

(A) who will perform the assessment; and 

(B) time frames for completing assessment. 
(5) client record management, including: 

(A) persons authorized to document; 

(B) screenings, which shall include: 

(i) an assessment of the individual's present- 
ing problem or need; 
(ii) an assessment of whether or not the facil- 



ity can provide services to address the 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



487 



PROPOSED RULES 



individual's needs; and 
(iii) the disposition, including referrals and 
recommendations; 

(C) transporting records; 

(D) safeguard of records against loss, tampering, 
defacement or use by unauthorized persons, 

(E) assurance of record accessibility to authorized 
users at aU times; and 

(F) assurance of confidentiality of records. 

(6) quality assurance activities, including: 

(A) composition and activities of a quality assur- 
ance committee: 

(B) written quality assurance plan; 

(C) methods for monitoring and evaluating the 
quality and appropriateness of client care, 
including delineation of client outcomes and 
utilization of services; 

(D) professional or clinical supervision, including 
a requirement that staff who are not qualified 
professionals and provide direct client services 
shall be supervised by a qualified professional 
in that area of service; 

(E) strategies for improving client care; 

(F) review of staff qualifications and a determina- 
tion made to grant treatment/habilitation privi- 
leges; 

(G) review of all fatalities of clients who were 
being sened in residential programs; 

(7) use of medications by clients in accordance with 
the Rules in this Section; 

(8) reporting of any incident, unusual occurrence or 
medication error: 

(9) voluntary non-compensated work performed by 
a client, 

( 10) client fee assessment and collection practices; 

(11) medical preparedness plan to be utilized in a 
medical emergency; 

i 12> authorization for and follow up of lab tests; 

( 13) transportation, including the accessibility of 
emergency information for a client; 

(14) services of volunteers, including supervision and 
requirements for maintaining client confidential- 
Ity: 

( 15) areas in which staff receive training and continu- 
ing education; 

(16) safety precautions and requirements for facility 
areas including special client activity areas; and 

( 17) client grievance policy, including procedures for 
review and disposition of client grievances. 

(b) Minutes of the governing body shall be permanently 
maintained. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0202 PERSONNEL REQUIREMENTS 

(a) All facilities or services shall require that applicants 
for employment disclose any criminal conviction. The 



impact of this information on a decision regarding employ- 
ment shall be based upon the offense in relationship to the 
job for which the applicant is applying. 

(b) Staff of a facility or a service shall be currently 
licensed, registered or certified, as appropriate to the 
services which are provided in accordance with applicable 
NC State Laws. 

(c) A personnel record shall be maintained for each 
individual employed indicating the training, experience, and 
other qualifications for the position, including verification 
appropriate to licensure, registration or certification. 

(d) Continuing education shall be documented. 

(e) Orientation programs shall be provided. 

(f) Staff training shall include training in infectious 
diseases. 

(g) At least one staff member in a facility who is trained 
in basic first aid, cardiopulmonary resuscitation, seizure 
management, and the Heimlich maneuver or other approved 
Red Cross first aid techniques for relieving airway obstruc- 
tion shall be available at all times. 

(h) The governing body may require medical statements. 
When in these Rules, a medical statement is required, the 
following minimums apply: 

(1) The staff member shall submit to the program at 
the time of initial approval and annually thereaf- 
ter a medical statement from a licensed physi- 
cian, nurse practitioner, or physician's assistant. 

(2) The medical statement may be in any written 
form but shall be signed by the physician, nurse 
practitioner, or physician's assistant and indicate 
the general good physical and mental health of 
the individual and the lack of evidence of active 



tuberculosis and communicable diseases. 



G) 



The facility or program shall keep the most 
recent medical statement on file. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0203 ASSESSMENT AND TREATMENT/ 
HABILITATION OR SERVICE PLAN 

(a) An assessment shall be completed for a client, 
according to governing body policy, prior to the delivery of 
services, and shall include, but not be limited to: 

(1) the client's presenting pioblem; 

(2) the client's needs and strengths; 

(3) a provisional or admitting diagnosis with an 
established diagnosis determined within 30 days 
of admission, except that a client admitted to a 
detoxification or other 24-hour medical program 
shall have an established diagnosis upon admis- 
sion; 

(4) a social, family, and medical history within 30 
days; and 

(5) evaluations or assessments, such as psychiatric, 
medical, and vocational, as appropriate to the 
client's needs. 

(b) when services are provided prior to the establishment 



488 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



and implementation of the comprehensive treat- 
ment/habilitation or service plan, treatment/habilitation or 
service objectives shall be documented. 

(c) The treatment/habilitation or service plan shall be 
developed based on the assessment, and in partnership with 
the client or legally responsible person, within 30 days of 
admission for clients who are expected to receive services 
beyond 30 days. 

(d) The treatment/habilitation or service plan shall 
include: 

(1) time-specific measurable goals for treat- 
ment/habilitation or service delivery; 

(2) strategies or procedures to meet the goals; 

(3) staff responsible for the implementation of 
specific goals; and 

(4) a schedule for review of the plan at least annu- 
ally. 



errors and adverse drug reactions. 
Statutory Authority G.S. 122C-26; I43B-147. 

.0205 EMERGENCY PLANS AND SUPPLIES 

(a) A written fire and disaster plan shall be developed for 
each facility and shall be approved by the local fire author- 

( 1) The plan shall be made available to aM staff and 
evacuation procedures and routes shall be posted 
in the facility. 

(2) Fire and disaster drills in a 24-hour facility shall 
be held at least quarterly and shall be repeated 
for each shift. Drills shall be conducted under 
conditions that simulate fire emergencies. 

(b) Each facility shall have basic first aid supplies 
accessible for use. 



Statutory Authority G.S. 122C-26; 130A-144; 130A-152, 
143B-147. 

.0204 CLIENT RECORDS 

A client record shall be maintained for each individual 
admitted to the facility, which shall contain, but need not be 
limited to: 

an identification face sheet which includes: 
name (last, first, middle, maiden); 
client record number; 
date of birth; 
race. 



111 
(a) 

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l£] 
(dJ 

£§] 

ill 

(2) 



in 

14] 
15] 



16] 



Hi 
18] 

(91 

la] 



lb] 

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Id] 



sex and marital status; 

admission date; 

discharge date; 
documentation of mental illness, developmental 
disabilities or substance abuse diagnosis coded 
according to Diagnostic and Statistical Manual for 
Mental Disorders (DSM-IV); 
documentation of the assessment and screening; 
treatment/habilitation plan; 
emergency information for each client which shall 
include the name, address and telephone number 
of the person to be contacted in case of sudden 
illness or accident and the name, address and 
telephone number of the client's preferred physi- 
cian; 

a signed statement from the client or legally 
responsible person granting permission to seek 
emergency care from a hospital or physician; 
documentation of progress or observations; 
documentation of services provided to address the 
needs; 
if applicable: 

documentation of physical disorders diagnosis 

according to International Classification of 

Diseases qCD-9-CM 1 ); 

medication orders; 

orders and copies of lab tests; and 

documentation of medication and administration 



Statutory Authority G.S. 122C-26; 143B-147. 

.0206 CLIENT SERVICES 

(a) Facilities that provide activities for clients shall assure 
that: 

(1) space and supervision is provided to ensure the 
safety and welfare of the clients, and 

(2) activities are suitable for the ages, interests, and 
treatment/habilitation needs of the clients served. 

(b) Facilities or programs designated or described in these 
Rules as "24-hour" shall make services available 24 hours 
a day, every day in the year, unless otherwise specified in 
the Rule. 

(c) Facilities that serve or prepare meals for clients shall 
ensure that the meals are nutritious. 

(d) When clients who have a physical handicap are 
transported, the vehicle shall be equipped with secure 
adaptive equipment. 

(e) When two or more preschool children who require 
special assistance with boarding or riding in a vehicle are 
transported in the same vehicle, there shall be one adult, 
other than the driver, to assist in supervision of the children. 

Statutory Authority G.S. 122C-26; 122C-112; 122C-146; 
130A-361; 143B-147; 150b 14(c). 

.0207 MEDICATION REQUIREMENTS 

(a) Medication dispensing: 

( U Medications shall be dispensed only on the 

written order of a physician or other practitioner 
licensed to prescribe. 

(2) Dispensing is restricted to registered pharma- 

cists, physicians, or other health care practitio- 
ners authorized by law and registered with the 
North Carolina Board of Pharmacy. A nurse or 
other designated person can assist with dispens- 
ing so long as the final label, container, and its 
contents are physically checked and approved by 
the dispensing pharmacist or physician. 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



489 



PROPOSED RULES 



m 



(4) 



Methadone for take-home purposes may be 
supplied to a client of a methadone treatment 
service in a properly labeled container by a 
registered nurse employed by the service, pursu- 
ant to the requirements of K) NCAC 45G ,0306 
SUPPLYING OF METHADONE IN TREAT- 
MENT PROGRAMS BY R£L Supplying of 
methadone |s not considered dispensing. 
Other than for emergency use, facilities shall not 
possess a stock of prescription legend drugs for 
the purpose of dispensing without hiring a 
pharmacist and obtaining a permit from the NC 
Board of Pharmacy. Physicians are permitted to 
keep a small locked supply of prescription drug 
samples. Samples shall be dispensed, packaged, 
and labeled in accordance with state law and this 
Rule. 



(b) Medication packaging and labeling: 

( 1 ) Non-prescription drug containers shall retain the 
manufacturer's label with expiration dates 
clearh visible: 

(2) Prescription medications, whether purchased or 
obtained as samples, shall be dispensed in 
tamper-resistant packaging that will minimize the 
risk of accidental ingestion by children. Such 
packaging includes plastic or glass bottles/viais 
with tamper-resistant caps, or in the case of 
unit-of-use packaged drugs, a zip-lock plastic 
bag may be adequate; 

(3) The packaging label of each prescription drug 
dispensed must include the following: 

the client's name; 

the prescriber's name: 

the current dispensing date; 

clear directions for self-administration; 



iAi 
111 
(C) 
£D) 
iEl 



the name, strength, quantity, and expiration 
date of the prescribed drug; and 
the name, address, and phone number of the 
pharmacy or dispensing location (e.g., 
mh/dd/sa center), and the name of the dispens- 
ing practitioner, 
(c) Medication administration: 

( 1) Prescription or non-prescription drugs shall only 
be administered to a client on the written order 
of a person authorized by law to prescribe 
drugs. 

(2) Medications shall be self-administered by clients 
only when authorized in writing by the client's 
physician. 

(3) medications, including injections, shall be ad- 
ministered only by licensed persons, or by 
unlicensed persons trained by a registered nurse, 
pharmacist or other legally qualified person and 
privileged to prepare and administer medica- 
tions. 

(4) A Medication Administration Record (MAR) of 
all drugs administered to each client must be 



kept current. Any administration of medications 
shall be recorded after administration, but before 
the next routine administration time, indicating 
each dose administered. The MAR is to include 
the following: 

(A) client's name; 

(B) name, strength, and quantity of the drug; 

(C) instructions for administering drug; 

(D) date and time drug is administered; and 

(E) name or initials of person administering the 
drug. 

(5) Drug administration errors and significant ad- 

verse drug reactions must be reported immedi- 
ately to a physician or pharmacist. An entry of 
the drug administered and the drug reaction must 
be properly recorded in the drug record. A 
client's refusal of a drug must be charted. 

(d) Medication disposal: 

( 1) All prescription and non-prescription medication 
shall be disposed of in a manner that guards 
against diversion or accidental ingestion. 

(2) Non-controlled substances shall be disposed of 
by incineration, flushing into septic or sewer 
system, or by transfer to a local pharmacy for 
destruction. A record of the medication disposal 
shall be maintained by the program. Documen- 
tation shall specify the client's name, medication 
name, strength, quantity, disposal date and 
method, the signature of the person disposing of 
medication, and the person witnessing destruc- 
tion. 

(3) Controlled substances shall be disposed of in 
accordance with Chapter 90 of the North Caro- 
lina General Statutes. 

(4) Upon discharge of a patient or resident, the 
remainder of his or her drug supply shall be 
disposed of promptly unless it is reasonably 
expected that the patient or resident shall return 
to the facility and in such case, the remaining 
drug supply should not be held for not more that 
30 calendar days after the date of discharge. 

(e) Medication Storage: 

£1} Ail medication shall be stored: 

(A) in a securely locked cabinet in a clean, well- 
lighted, ventilated room; 



in a refrigerator, if required. If the refrigera- 
tor is used for food items, medications shall be 



IB} 



kept in a separate, locked compartment or 
container; 

(C) separately for each client; 

(D) separately for external and internal use; 

(E) in a secure manner if approved by a physician 
for a client to self-medicate. 

(2) Each facility that maintains stocks of controlled 

substances shall be currently registered under the 
North Carolina Controlled Substances Act and 
shall be in compliance with Chapter 90 of the 



490 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



North Carolina General Statutes, Article 5^ 
North Carolina Controlled Substances Act 
adopted by reference to include any subsequent 
amendments or editions. 

(f) Medication review: 

(1) If the client receives psychotropic drugs, the 
governing body or operator is responsible for 
obtaining a review of each client's drug regimen 
at least every six months. The review is to be 
performed by a pharmacist or physician. The 
on-site manager must assure that the client's 
physician is informed of the results of the review 
when medical intervention js indicated. 

(2) The findings of the drug regimen review should 
be recorded in the client record along with 
corrective action, if applicable. 

(g) Medication education: 

(1) Each client started or maintained on a medica- 
tion by an area program physician shall receive 
either oral or written education regarding the 
prescribed medication by the physician or 
his/her designee. In instances where the ability 
of the client to understand the education is 
questionable, a responsible person shall be 
provided either oral or written instructions on 
behalf of the client. 

(2) The medication education provided shall be 
sufficient to enable the client or other responsi- 
ble person to safely administer the medication 
and to encourage compliance with the prescribed 
regimen. 

(3) The area program physician or designee shall 
document in the client record that education for 
the prescribed psychotropic medication was 
offered and either provided or declined. If 
provided, it shall be documented in what manner 
it was provided (either orally or written or both) 
and to whom (client or responsible person). 

Statutory Authority G.S. 90-21.5; 90-171.20(7) (8) ; 
90-171.44; 122C-26; 143B-147. 

.0208 RESEARCH REVIEW BOARD 

(a) For purposes of this Rule, "research" means inquiry 
involving a trial or special observation made under condi- 
tions determined by the investigator to confirm or disprove 
a hypothesis, or to explicate some principle or effect. The 
term "research" as used here means research which is not 
standard or conventional: involves a trial or special observa- 
tion which would place the subject at risk for iniury (physi- 
cal, psychological or social injury), or increase the chance 
of disclosure of treatment; utilizes elements or steps not 
ordinarily employed by qualified professionals treating 
similar disorders of this population: or is a type of proce- 
dure that serves the purpose of the research only and does 
not include treatment designed primarily to benefit the 
individual. 



(b) Prior to the initiation of any research activity in a 
facility which involves clients or client records, jt shall be 
reviewed and approved by a research review board recog- 
nized by the facility in which the proposed research is to be 
conducted. 

(c) The board shall consist of at least three members, the 
majority of whom are not directly associated with the 
research proposal which is under consideration. 

(d) Each proposed research project shall be presented to 
the research review board as a written protocol including, 
at least, the following information: 

(1) name of the project and the principal investiga- 
tor; 

(2) statement of obiectives (hypothesis) and ratio- 
nale; and 

(3) description of the methodology, including in- 
formed consent if necessary. 

(e) Each approved research project shall be reviewed by 
the research review board at least annually. Significant 
modifications in the research protocol shall be reviewed and 
approved in advance by the research review board. 

(f) Minutes of each research board meeting shall be 
maintained. 

Statutory Authority G.S. I22C-26; 122C-52; 143B-I47. 

SECTION .0300 - PHYSICAL PLANT RULES 

.0301 COMPLIANCE WITH BUILDING CODES 

(a) Each new facility shall be in compliance with all 
applicable portions of the North Carolina State Building 
Code in effect at the time of licensing. 

(b) Each facility operating under a current license issued 
by DFS upon the effective date of this rule shall be in 
compliance with all applicable portions of the North Caro- 
lina State Building Code in effect at the time the facility was 
constructed or last renovated. 

(c) Each facility shall maintain documented evidence of 
compliance with applicable fire, sanitation and building 
codes including an annual fire inspection. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0302 FACILITY CONSTRUCTION/ ALTERATIONS/ 
ADDITIONS 

(a) When construction, use, alterations or additions are 
planned for a new or existing facility, work shall not begin 
until after consultation with the DFS Construction Section 
and with the local building and fire officials having jurisdic- 
tion. 

(b) All required permits and approvals shall be obtained 
from the appropriate authorities. 

(c) Each facility shall comply with the Americans with 
Disabilities Act. 

Statutory Authority G.S. 122C-26; 143B-147. 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



491 



PROPOSED RULES 



.0303 LOCATION AND EXTERIOR 
REQUIREMENTS 

(a) Each facility shall be located on a site where: 

( 1) fire protection is available; 

(2) water supply, sewage and solid waste disposal 
services have been approved by the local health 
department; 

(3) occupants are not exposed to undue hazards and 
pollutants; and 

(4) local ordinances and zoning laws are met. 

(b) The site at which a 24-hour facility is located shall 
have sufficient outdoor area to permit clients to exercise 
their right to outdoor activity in accordance with the 
provisions of G.S, 122C-62. 

(c) Each facility and its grounds shall be maintained in a 
safe, clean, attractive and orderly manner and shall be kept 
free from offensive odor. 

(d) Buildings shall be kept free from insects and rodents. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0304 FACILITY DESIGN AND EQUIPMENT 

(a) Privacy: Facilities shall be designed and constructed 
in a manner that will provide clients privacy while bathing, 
dressing or using toilet facilities. 

(b) Safety: Each facility shall be designed, constructed 
and equipped in a manner that ensures the physical safety of 
clients, staff and visitors. 

( I ) All hallways, doorways, entrances, ramps, steps 

and corridors shall be kept clear and unob- 
structed at all times. 



<2i 
£41 



All mattresses purchased for existing or new 
facilities shall be fire retardant. 
Electrical, mechanical and water systems shall 
be maintained in operating condition. 
All indoor areas to which clients have routine 

Lighting shall be 



access shall be well-lighted. 

adequate to permit occupants to comfortably 

engage in normal and appropriate daily activities 

such as reading, writing, working, sewing and 

grooming. 

(c) Comfort Zone: Each 24-hour facility shall provide 
heating and air-cooling equipment to maintain a comfort 
range between 68 and 80 degrees Fahrenheit. 

( 1 ) This requirement does not apply to therapeutic 
(habilitative) camps and other 24-hour facilities 
for five or fewer clients. 

(2) Facilities licensed prior to 10/1/88 shall not be 
required to add or install cooling equipment if 
not already installed. 

(d) Indoor space requirements: Facilities licensed prior 
to 10/1/88 shall satisfy the minimum square footage require- 
ments in effect at that time. Unless otherwise provided in 
these Rules, residential facilities licensed after 10/01/88 
shall meet the following indoor space requirements: 

( 1 ) Client bedrooms shall have at least 100 square 

feet for single occupancy and 80 square feet per 



ill 
(4J 

£6) 

ill 
£8} 

10) 



(11) 



(12) 



client when more than one client occupies the 
bedroom. 

Where bassinets and portable cribs for infants 
are used, a minimum of 40 square feet per 
bassinet or portable crib shall be provided. 
No more than two clients may share an individ- 
ual bedroom regardless of bedroom size. 
In facilities with overnight accommodations for 
persons other than clients, such accommodations 
shall be separate from client bedrooms. 
No client shall be permitted to sleep in an 
unfinished basement or in an attic. 
In a residential facility licensed under residential 
building code standards and without elevators, 
bedrooms above or below the ground level shall 
be used only for individuals who are capable of 
moving up and down the steps independently. 
Minimum furnishings for client bedrooms shall 
include a separate bed, bedding, pillow, bedside 
table, and storage for personal belongings for 
each client- 
Only clients of the same sex may share a bed- 
room except for children age six or below, and 
married couples. 

Children and adolescents shall not share a bed- 
room with an adult. 



At least one full bathroom for each five or fewer 
persons including staff of the facility and their 
family shall be included in each facility. 
Each facility, except for a private home pro- 
vider, shall have a reception area for clients and 
visitors and private space for interviews and 
conferences with clients. 

The area in which therapeutic and habilitative 
activities are routinely conducted shall be sepa- 
rate from sleeping areas. 



Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0400 - LICENSING PROCEDURES 

.0401 LICENSE REQUIRED 

(a) No person shall establish, maintain or operate a 
licensable facility within the meaning of G.S. 122C-3 
without first applying for and receiving a license from DFS. 

(b) Except for facilities excluded from licensure by G.S. 
122C. DFS will deem any facility licensable if its primary 
purpose is to provide services for the care, treatment, 
habilitation or rehabilitation of individuals with mental 
illness, developmental disabilities, or substance abuse 
disorders. 

(c) Living arrangements coordinated for adult clients in 
connection with case management or personal assistance 
services are not considered licensable facilities unless they 
have the primary purpose of care, treatment, habilitation or 
rehabilitation. 



492 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



Statutory Authority G.S. 122C-3; 122C-23; 122C-26; 143B- 
147. 

.0402 LICENSE ISSUANCE 

(a) Applications for licensure shall be requested and 
completed in the form specified by DFS at least thirty days 
prior to the planned operation date of a new facility. Copies 
of reports, findings or recommendations issued by any 
accreditation agency and corrective action plans shall be 
submitted with the application for licensure. 

(b) The content of license applications shall include: 
(1) Name of person (as defined in G.S. 122-C3) 

submitting the application, 
Business name of facility, if applicable; 
Street location of the facility (including multiple 
addresses if more than one building at one site); 
Name and title of the operator of the facility; 
Type of facility; services offered; ages served; 
and, when applicable, capacity and a floor plan 
showing bed locations and room numbers, any 
unlocked time-out rooms, and any locked inte- 



m 

14} 
£51 



rior or exterior doors which would prohibit free 
egress of clients; and 
(6) Indication of whether the facility is operated by 

an area program, under contract with an area 
program, or is a private facility. 

(c) DFS shall conduct an on-site inspection to determine 
compliance with all rules and statutes. If the facility is 
operated by or contracted with an area program, DFS may, 
in lieu of conducting an on-site inspection, accept written 
verification from the area program or DMH/DD/SAS that 
the facility is in compliance with rules and statutes The 
written verification shall be in such form as DFS may 
require. 

(d) DFS shall issue a license after it determines a facility 
is in compliance with: 

(1) Certificate of Need rules as codified in 10 
NCAC 3R .2600; 

(2) Building Code and physical plant requirements 
in these Rules; 

(3) Annual fire and safety and sanitation require- 
ments, with the exception of a day/night or 
periodic service that does not handle food for 
which a sanitation inspection report is not re- 
quired; and 

(4) Applicable rules and statutes. 

(e) Licenses shall be issued to the specific premise for 
types of services indicated on the application. 

(f) A separate license shall be required for each facility 
which is ma in tamed on a separate site, even though the sites 
may be under the same ownership or management. 

Statutory Authority G.S. 122C-3; 122C-23; 122C-26; 122C- 
27(5); 143B-147. 

.0403 DEEMED STATUS 

(a) A facility may be awarded a deemed status and 



licensed if it is certified or accredited by a nationally 
recognized agency which has been approved in advance by 
the Commission, and it provides verification of certification 
or accreditation to DFS. 

(b) Any facility licensed under this Rule shall continue to 
be subject to inspection by DFS or by DMH/DD/SAS as 
provided in these Rules. 

Statutory Authority G.S. 122C-22; 122C-26; 131E-67; 143B- 
17; 143B-147; 150B. Article 3. 

.0404 OPERATIONS DURING LICENSED PERIOD 

(a) A license shall be valid for a period not to exceed two 
years from the date on which the license is issued. 

(b) For all facilities providing periodic and day/night 
services, the license shall be posted in a prominent location 
accessible to public view within the licensed premises. 

(c) For 24-hour facilities, the license shall be readily 
available for review upon request. 

(d) A facility shall accept no more clients than the 
number for which it is licensed. 

(e) DFS may conduct inspections of facilities without 
advance notice as DFS deems appropriate. 

(f) Written notification must be submitted to DFS prior to 
any of the following: 

(1) Construction of a new facility or any renovation 
of an existing facility; 

(2) Increase or decrease in capacity by program 
service type; 

(3) Change in program service; 

(4) Change in ownership including any change in a 
partnership; 

(5) Change of name of facility; or 

(6) Change in location of facility. 

(g) When a licensee plans to close a facility or discon- 
tinue a service, written notice at least 30 days in advance 
shall be provided to DFS. This notice shall address continu- 
ity of services to clients in the facility. 

(h) Licenses will expire unless renewed by DFS for an 
additional period. Thirty days prior to the expiration of a 
license, the licensee shall submit to DFS the following 
information: 

(1) Brief description of any changes in the facility 
since the last written notification was submitted; 

(2) Annual local fire and sanitation inspection 
reports, with the exception of a day/night or 
periodic service that does not handle food for 
which a sanitation inspection report js not re- 
quired; and 

(3) Copies of deficiencies and corrective action 
issued by an area program, DMH/DD/SAS, or 
any accreditation agency. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0405 LICENSE DENIAL, AMENDMENT 
OR REVOCATION 



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(a) Denial: DFS may deny an application for license 
based on the determination that the applicant is not in 
compliance with: 

(1) rules promulgated under G.S. Chapter 122C. 
Article 2; or 

(2) applicable provisions of the Certificate of Need 
lav, under G.S. Chapter 131E, Article 9 and 
rules adopted under that law. 

(b) Notice: When an application for license of a new 
facility is denied: 

(1 ) DFS shall give the applicant written notice of the 
denial, the reasons for the denial and advise the 
applicant of the right to request a contested case 
hearing pursuant to G.S. 150B: and 

(2) The facility shall not operate until a decision is 
made to issue a license, despite an appeal action. 

(c) Amendment: DFS may amend a license to indicate a 
provisional status whenever DFS determines there are 
\iolations of rules, but the violations do not pose an imme- 
diate threat to the health, safety or welfare of the clients 
served. 

Provisional status shall be approved for not less 
than 30 days nor more than six months. 



Lli 
ill 



ill 



(4. 



111 



Provisional status shall be effective immediately 
upon notice to the licensee and must be posted in 
a prominent location, accessible to public view, 
within the licensed premises. 
A new license, which deletes the provisional 
status, shall be issued when a facility is deter- 
mined by DFS to be in compliance with applica- 
ble rules. 

If a facility fails to comply with the rules within 
the time frame determined by DFS. the license 
will automatically terminate on the expiration 
date of the provisional status. 
If a licensee has a provisional status at the time 
that the licensee submits a renewal application, 
the license, if renewed, shall also be of a provi- 
sional status unless DFS determines that the 
violations have been corrected. 



(6) A decision to issue a provisional status is stayed 

during the period of an administrative appeal and 

the licensee may continue to display its license 

during the appeal. 

(d) Revocation: DFS shall revoke a license whenever it 

finds that there has been any failure to comply with the 

provisions for G.S. 122C. Article 2± that there have been 

violations of rules promulgated under those parts, and that 

such violations endanger the health, safety, or welfare of the 

individuals in the facility . 

Statutory Authority G.S. 122C-24; 122C-26; 122C-27; 143B- 
147; 150B-3: 12(a); 23-(a)(f); 150B-45. 

SECTION .0500 - AREA PROGRAM 
REQUIREMENTS 



ill 

141 
(51 



.0501 REQUIRED SERVICES 

Each area program shall provide or contract for the 
provision of the following services: 

( 1) Outpatient for Individuals of all Disability Groups; 

Emergency for Individuals of all Disability 
Groups; 

Consultation & Education for Individuals of all 
Disability Groups; 

Case Management for Individuals of all Disability 
Groups; 

Inpatient Hospital Treatment for Individuals Who 
Have Mental Illness or Substance Abuse Disor- 
ders; 

(6) Psychosocial Rehabilitation for Individuals with 

Severe and Persistent Mental Illness or Partial 
Hospitalization Services for Individuals Who are 
Acutely Mentally 111; 
are (7) Developmental Day Services for Preschool Chil- 

dren with or at Risk for Developmental Disabili- 
ties or Delays or Atypical Development; 

(8) Adult Developmental Activity Programs (ADAP) 

for Individuals with Developmental Disabilities; 

(21 Alcohol and Drug Education Traffic Schools 
(ADETS); 

(10) Drug Education Schools (PES); 

(11) Social Setting. Nonhospital Medical, or Outpatient 
Detoxification Services for Individuals who are 
Alcoholics; 

( 12) Forensic Screening and Evaluation for Individuals 
of alf Disability Groups; and 

(13) Early Childhood Intervention Services for Chil- 
dren with or at Risk for Developmental Delay. 
Disabilities, or Atypical Development and Their 
Families (ECIS). 

Statutory Authority G.S. 143B-147. 

.0502 AREA PROGRAM/HOSPITAL AGREEMENT 

(a) Each area program shall make provisions for inpatient 
services for individuals with mental illness or substance 
abuse disorders, including access for both voluntary and 
involuntary admissions. The area program may provide 
these services, develop written agreements, or have written 
referral procedures to a general hospital or private hospital, 
to ensure that both voluntary and involuntary clients shall 
have access to needed inpatient services. 

(~b) A written agreement between the area program and a 
general hospital or private hospital shall specify at least the 
following: 

criteria for service availability for area program 
patients, 

responsibilities of both parties related to admis- 
sion, treatment, and discharge of patients: 
parties responsible for the operation of the 
inpatient service; 

responsibilities of each party regarding continu- 
ity of service for patients discharged from the 



Ul 
Ol 

Ml 



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inpatient service; and 
(5) provision for the exchange of information. 

(c) When services are provided out of State, the written 
agreement shall be approved by the DMH/DD/SAS. 

Statutory Authority G.S. 143B-147. 

.0503 STAFF REQUIREMENTS 

Each area program shall employ or contract for the 
services of a^ 

( 1) psychiatrist; 

(2) practicing psychologist; 

(3) psychiatric nurse; 

(4) psychiatric social worker; 

(5) certified alcoholism counselor and certified drug 
abuse counselor, or at least one certified substance 
abuse counselor; 

(6) qualified developmental disabilities professional; 
and 

(7) qualified client record manager. 

Statutory Authority G.S. 122C-121; 122C-154; 122C-155: 
143B-147. 

,0504 CLIENT RIGHTS COMMITTEE 

(a) The area board shall bear ultimate responsibility for 
the assurance of client rights. 

(b) Each area board shall establish at least one Client 
Rights Committee, and may require that the governing body 
of a contract agency also establish a Client Rights Commit- 
tee. The area board shall also develop and implement 
policy which delineates: 

(1) composition, size, and method of appointment of 
committee membership; 

(2) training and orientation of committee members; 

(3) frequency of meetings; 

(4) rules of conduct for meetings and voting proce- 
dures to be followed; 

(5) procedures for monitoring the effectiveness of 
existing and proposed methods and procedures 
for protecting client rights, 

(6) requirements for routine reports to the area 
board regarding seclusion, restraint and isolation 
time out; and 

(7) other operating procedures. 

(c) The area-board-establ i shed Client Rights Committee 
shall oversee, for area-operated services, implementation of 
the following client rights protections: 

(1 ) compliance with G.S. 122C, Article 3^ 

(2) compliance with the provisions of 
DMH/DD/SAS publications CLIENT RIGHTS 
IN COMMUNITY MENTAL HEALTH, DE- 
VELOPMENTAL DISABILITIES AND SUB- 
STANCE ABUSE SERVICES, APSM 95-2 and 
CONFIDENTIALITY RULES, APSM 45-1, 
adopted in accordance with G.S. 150B-14(c); 
and 



(3) establishment of a review procedure for any of 
the following which may be brought by a client, 
client advocate, parent, legally responsible 
person, staff or others: 

(A) client grievances; 

(B) alleged violations of the rights of individuals 
or groups, including cases of alleged abuse, 
neglect or exploitation, 

(C) concerns regarding the use of restrictive proce- 
dures; or 

(D) failure to provide needed services that are 
available in the area program. 

(d) Nothing herein stated shall be interpreted to preclude 
or usurp the statutory authority of a county Department of 
Social Services to conduct an investigation of abuse, neglect, 
or exploitation or the statutory authority of the Governor's 
Advocacy Council for Persons with Disabilities to conduct 
investigations regarding alleged violations of client rights. 

(e) If the area board requires a contract agency to 
establish a Client Rights Committee, that Committee shall 
carry out the provisions of this Rule for the contract agency. 

(f) Each Client Rights Committee shall be composed of 
a majority of non-area board members, with a reasonable 
effort made to have all disabilities equally represented. 
Staff who serve on the committee shall not be voting 
members. 

(g) The Client Rights Committee shall maintain minutes 
of its meetings and shall file at least an annual report of its 
activities with the area board. Clients shall not be identified 
by name in minutes or in written or oral reports. 

(h) An area program which contracts for services shall 
delineate in the service contract the authority of the area 
board Client Rights Committee and its relationship to the 
contract agency. The area board Client Rights Committee 
shall review grievances regarding incidents which occur 
within a contract agency after the governing body of the 
agency has reviewed the incident and has had opportunity to 
take action. Incidents of actual or alleged Client Rights 
violations, the facts of the incident, and the action, if any, 
made by the contract agency shall be reported to the area 
board within 90 days of the initial report of the incident. 

Statutory Authority G.S. 122C-64; 143B-147. 

.0505 NOTIFICATION PROCEDURES FOR 
PROVISION OF SERVICES 

(a) If an area program plans to operate or contract for a 
service located within the catchment area of another area 
program, the Director of the area program that plans to 
operate or contract for the service shall notify the Director 
of the area program in which the service is to be located 
prior to the provision of the service. 

(b) The notification shall be in writing and shall include 
the following: 



m 



name of the provider; 
service to be provided; and 
anticipated dates of service. 



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PROPOSED RULES 



In the event of an emergency, notification pnor to the 
provision of service may be by telephone with written 
notification occurring the next working day. 

(c) Should a dispute resolution concerning such service as 
described in Paragraph (a) of this Rule be necessary, the 
Division Director shall arbitrate an agreement between the 
respective area programs. 

(d) If the Division plans to operate or contract for a 
service in an area program, the Division Director shall 
notify the Director of the area program in which the service 
is to be located, prior to the provision of the service, 
according to the procedures set forth in Paragraph (b) of this 
Rule. 

Statutory Authority G.S. 122C-113; 122C-141(b); 122C- 
142(a); 122C-191(d). 

SECTION .0600 - ACCREDITATION OF 
AREA PROGRAMS AND SERVICES 

.0601 GENERAL 

(a) All area program direct and contracted services shall 
be accredited. Direct area program services shall be 
accredited by DMH/DD/SaS. Contract services shall be 
accredited by the area program. 

(b) Initial accreditation shall include an on-site review by 
the accrediting authority. Continuing accreditation shall be 
maintained by periodic accreditation reviews of area 
services. 

(c) DMH/DD/SAS funding of area services is contingent 
upon accreditation. For new services, DMH/DD/SAS may 
authorize start-up funds pending accreditation. 

(d) DMH/DD/SAS or the area program, as appropriate, 
may deem a service accredited if the service provides proof 
that it is certified or accredited by a nationally recognized 
body approved in advance by DMH/DD/SAS. 

(ej DMH/DD/SAS shall retain the authority to revoke or 
deny accreditation of area program contract services, with 
or without the concurrence of the area program, as set forth 
in Rule .0604 of this Section. 

Statutory Authority G.S. 122C-112; 1222C-141(b); 122C- 
142(a); 122C- 191(d). 

,0602 ACCREDITATION REVIEW 

(a) The Area Authority shall assure that all area-operated 
and contracted services of an area program comply with 
applicable Federal requirements, General Statutes, and Rules 
of the Commission, the Secretary and DMH/DD/SAS. 

(b) An area program shall be reviewed under the auspices 
of DMH/DD/SAS periodically, and not less than once every 
five years. 

(c) The Accreditation Review will examine each area 
program service for: 

(1) compliance with applicable rules; 

(2) client outcomes; 

(3) achieved levels of client satisfaction; and 



(4) operational and programmatic performance 

meeting professional standards of practice in the 

applicable disciplines. 

(d) Upon completion of the Accreditation Review, 

DMH/DD/SAS will provide the area authority with an oral 

summary and written report of results. 

Statutory Authority G.S. 122C-112; 1222C-141(b); 122C- 
142(a); ' 122C-191(d). 

.0603 ACCREDITATION OF THE AREA 
PROGRAM 

(a) Upon completion of an Accreditation Review, 
DMH/DD/SAS shall accredit the area program for a period 
of between one and five years. The length of the accredita- 
tion period shall be determined by DMH/DD/SAS based on 
the results of the review and an evaluation of the area 
program's current status, planned changes, and anticipated 
future needs. 

(b) Except as specified by DMH/DD/SAS, accreditation 
of an area program shall constitute accreditation of the area 
program services that were in operation at the time of the 
Accreditation Review. DMH/DD/SAS may accredit an area 
program service for a shorter period of time than the area 
program itself. 

(c) An area program or service accreditation of one year 
shall be accompanied by the development of a plan for 
program or service enhancement developed jointly by the 
area program and DMH/DD/SAS. These plans are to be 
developed and implementation begun within ninety days 
following the accreditation review. 

(d) As a condition of accreditation for more than one 
year, DMH/DD/SAS may require an area program to 
develop and submit a plan for program or service enhance- 
ment. The scope and time frame for submission of the 
plan shall be specified by DMH/DD/SAS. 

(e) DMH/DD/SAS may schedule and conduct Accredita- 
tion Reviews at any time during an accreditation period in 
the event of significant changes in the membership of the 
area board, a change in area director, complaints by 
consumers, consumer organizations and/or advocacy groups, 
failure to complete required plans, or other occurrences that 
suggest a change in circumstances warranting a reexamina- 
tion of one or more of an area program's services. This 
review may be a full Accreditation Review of the area 

be limited to selected area program 



program 
services. 



or it may 



Statutory Authority G.S. 122C-112; 1222C- 141(b); 122C- 
142(a); 122C-191(d). 

.0604 DENIAL OR REVOCATION OF 
ACCREDITATION 

(a) Either DMH/DD/SAS or an area program may deny 
or revoke accreditation for a service: 

( 1) upon confirmation that a service subject to 
licensure is not licensed; 



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(2) upon receipt of evidence of a condition that 
DMH/DD/SAS or the area program determines 
is a threat to the health, safety or welfare of an 
individual served; 

(3) upon a service's failure to complete corrective 
action in accordance with a plan approved by 
DMH/DD/SAS or the area program as appropri- 
ate; 

(4} upon a service's failure to participate in the 

Accreditation Review; or 
(5) upon determination that: 

(A) the services rendered are not provided at a 
recognized, established level of competence in 
the appropriate discipline; 

(B) the governing body of the service provider has 
received notice of the deficiencies, and 

(C) the governing body has failed or refused to 
take appropriate remedial action to bring the 
service to the required level of competence. 

(b) The area program shall promptly notify 
DMH/DD/SAS of any. revocation or denial of accreditation 
for a service. 

(c) Upon denial or revocation of accreditation for a 
service. DMH/DD/SAS shall take appropriate steps to 
withhold funds for the service pending reaccreditation as set 
forth in the DMH/DD/SAS Accounting Rules. 

Statutory Authority G.S. 122C-112; 1222C- 141(b); 122C- 
142(a); 122C-191(d). 

SECTION .0700 - WAIVERS AND APPEALS 

.0701 SUBMISSION OF REQUESTS FOR 
WAIVERS OF RULES 

Requests for waivers shall be sent to the Division Direc- 
tor, Division of Mental Health, Developmental Disabilities, 
and Substance Abuse Services, 325 North Salisbury Street, 
Raleigh, North Carolina 27603. 

Statutory Authority G.S. 122C-1 12(a)(8); 143B-147(a)(8). 



.0702 

Except 
requests 
lii 

121 



(3) 

(4) 
£§1 
£b} 
(c) 



CONTENTS OF WAIVER REQUESTS 

as provided in Rule .0706 of this Section, waiver 
shall be in writing and shall contain: 
the name, address and telephone number of the 
person making the request; 

the name, address and telephone number of the 
facility, program, agency or other entity for which 
the waiver is requested; 

the rule number and title of any rule for which the 
waiver is requested; 
a statement of facts including: 

the reason for the request; 

the nature and extent of the request; and 

confirmation that the health, safety or welfare of 

clients will not be threatened; 
the time frame for which the waiver is requested; 



and 
(6) authorization for the waiver request and the date 
of such authorization. If from: 

(a) a facility operated by an area program, area 
board authorization; 

(b) a contract agency (of area programs) proof of 
recommendation by area board and proof of 
contract agency governing body approval; 

(c) a private facility, authorization by the governing 
body; and 

(d) the Department of Correction, Division of 
Prisons, authorization by the Director of the 
Division of Prisons. 

Statutory Authority G.S. 122C-1 12(a)(8); 143B-147(a)(8). 

.0703 PROCEDURE FOR WAIVERS BY 
COMMISSION 

If any rule for which waiver is requested was adopted 
pursuant to the rule-making authority of the Commission, 
the procedures set forth in this Rule shall be followed: 
(1) The person requesting the waiver shall be notified 
regarding the time and place of the meeting at 
which the Commission will vote upon the waiver 
request. At the discretion of the Chairman of the 
Commission, the person requesting the waiver and 
any other interested person may be given the 
opportunity to speak regarding the waiver request. 
Decisions regarding waiver requests shall be based 
upon, but not limited to, the following: 
the nature, extent, and rationale of the request; 
and 

safeguards to ensure that the health, safety or 
welfare of clients will not be threatened. 
The Commission's decision shall be issued in 



m 

[b] 

121 

La) 

in 

[bj 



writing by the Chairman of the Commission and 

shall state: 
the factual situation giving rise to the waiver 
request; 

the decision that the waiver request was granted, 
or granted subject to certain conditions; 
the time frame, if the waiver is granted; and 
the reason , if the waiver request was denied. 

The waiver may be granted retroactively: 
to the date of the authorization as described in 
Item (6) of Rule .0702 of this Section; or 
to the time frame requested by the Division 
Director if the waiver is submitted in accordance 
with Rule .0706 of this Section. 



Statutory Authority G.S. 143B-147(a)(8). 

.0704 WAIVERS REQUESTED BY 
COMMISSION 

(a) Any member of the Commission may initiate a request 
for waiver of any rule adopted pursuant to the ruie-making 
authority of the Commission, or the rule-making authority 



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PROPOSED RULES 



delegated to the Division Director by the Secretary as 
described in this Section. 

(b) In requesting a waiver on behalf of one or more 
agencies or services, the Commission member is subject to 
Subitems (2)(a) and £b) of Rule .0706 of this Section. 

Statutory Authority G.S. 143B-l47(a)(8). 

.0705 PROCEDURE FOR WAIVERS BY 
DIVISION DHtECTOR 

If the rule for which waiver is requested was adopted 
pursuant to the rule-making authority delegated to the 
Division Director by the Secretary, the procedures set forth 
in this Rule shall be followed: 

(1) Decisions regarding waiver requests shall be based 
upon, but not limited to, the criteria in Item (2) of 
Rule 0703 of this Section. 

(2) A decision regarding the waiver request shall be 
issued in writing by the Division Director within 
60 days from the date of receipt of the waiver 
request and shall state: 

(a) the factual situation giving rise to the waiver 
request; 

(b) the reasons why the request was granted, 
granted subject to certain conditions, or denied; 
and 

(c) if granted, the time frame for which the waiver 
is granted. 

(3) The waiver may be granted retroactively to the 
date of the authorization of the governing body as 
described in Item (6) of Rule .0702 of this Section 
or to the time frame requested by the Division 
Director if the waiver is submitted in accordance 
with Rule .0706 of this Section. 

Statutory Authority G.S. 122C-1 12(a)(8). 

.0706 WAIVERS REQUESTED BY DIVISION 
DIRECTOR 

The Division Director may initiate a request for waiver of 
rules adopted pursuant to the rule-making authority of the 
Commission as described in this Section. 

( 1) Except when requesting a waiver on behalf of one or 
more agencies or services, the Division Director is 
exempt from the provisions of Items (2) and (6) of 
Rule .0702 of this Section. 

(2) Instead, the Division Director shall list the types of 
agencies or services for which the waiver is re- 
quested. 

Statutory Authority- G.S. 122C-1 12(a)(8). 

.0707 SPECIAL REQUESTS 

(a) The Commission or Division Director may approve one 
or more lists of conditions under which an agency may make a 
special waiver request. 

(b) In addition to aU Rules of this Section, any agency 



making a special request for waiver of specified rules shall: 

(1) address the relevant list of conditions; and 

(2) obtain Division approval of the proposed alternative 
system of policy and procedures prior to action by 
either the Commission or Division Director. 

(c) The Commission or Division Director may grant or deny 
waiver of specified rules upon receipt of an agency's special 
request submitted in accordance with the rules of this Section. 



Statutory Authority? G.S. 143B-147(a)(8). 

,0708 APPEALS PROCEDURES FOR 
CONTRACT PROVIDERS 

(a) Pursuant to G.S. 122C-151.3, an area authority shall 
establish written procedures for the resolution of disputes 
regarding decisions of an area authority with a contractor, 
former contractor client or person asserting the claims described 
in G.S. 122C-151.4. 

(b) Decisions may be appealed to the Area Authority Appeals 
Panel as set forth in this Section. 

Statutory Authoruy G.S. 122C-U2; 122C-151.3; 122C-151.4. 

.0709 ESTABLISHMENT OF AN AREA AUTHORITY 
APPEALS PANEL 

(a) Pursuant to OS. 122C-151.4fb), the Area Authority 
A ppeals Panel, hereafter referred to as "the Panel," shall consist 
of three members who shall: 

(JJ be appointed by the Division Director and serve at 

the pleasure of the Secretary; and 
(2) have education and experience relevant to the 

appeals process, as determined by the Division 

Director. 

(b) The Division Director shall appoint the Chair of the 
Panel. 

(c) Clerical support for the Panel shall be provided by the 
Division. 

Statutory Authority G.S. 122C-1 12(a); 122C-151.4. 

.0710 PANEL APPEALS PROCEDURES 

(a) Appeals of the decision of local area authorities shall be 
forwarded, along with all supplementary documentation 
considered during the local area a ppeals process, to the Division 
Director within 15 days of the local decision being rendered. 

(b) The Division Director shall forward all information to the 
Chair of the Panel within five working days. 

(c) The Panel shall complete an administrative review and 
notify the a ppealing party and the area program of its decision, 
in writing, within 15 days of receipt of the appeal. Unless 
further appealed within J5 days of the date of this decision, this 
decision shall be considered final. 

(d) Either party named in the appeal may request a hearing 
by the Panel before the Panel's administrative decision is 
considered to be final by submitting a written request to the 
Chair of the Panel within J5 days of the date of the administra- 
tive review decision. 



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PROPOSED RULES 



(e) A hearing shall be scheduled by the Panel no more than 
30 days after a written request for a hearing is received by the 
Chair. 

(Tj The hearing shall be scheduled at a time and place 
designated by the Chair. 

(g) The appealing party and the area program shall be 
notified of the time and place of the hearing no less than 15 
days prior to the hearing. 

Statutory Authority G.S. 122C-U2(a); 122C-151.4. 

.0711 HEARING PROCEDURES 

(a) The Chair of the Panel: 

(1) will convene the meeting at the prearranged time 
and place; 

(2) may afford the o pportunity for rebuttal and sum- 
mary comments to either of the presenting parties; 

(3) may limit the total number of persons presenting 
for the appellant and appellee; and 

(4) may impose time limits for presentations. 

(b) The official representative of the appellant and appellee 
shall: 

(1) specify by name and position all individuals who 
will be present for the hearing; 

(2) provide the Panel with any requested information; 
and 

(3) if appropriate, ensure that a representative of the 
appellant and a ppellee will be available at the 
hearing to make a presentation. 

(c) Any member of the Panel may address questions to the 
representatives of the appellant or of the appellee. 

(d) All persons present at the appeal will address only the 
Chair or a specific member of the Panel who has addressed a 
specific question to that individual. 

(e) Direct exchanges between presenters for the a ppellant and 
the a ppellee shall be prohibited. 

(fj The Panel may obtain any form of technical assistance or 
consultation relevant to the appeal. 

Statutory Authority G.S. I22C-1 12(a); 122C-151.4. 

,0712 PANEL DECISIONS 

(a) The Panel shall vote in open session on each specific item 
being appealed. 

(b) Within five working days, each decision shall be con- 
veyed in writing to the appealing party and the area authority. 

(c) Any decision may be rescheduled for a subsequent 
meeting if the Panel determines that it lacks sufficient informa- 
tion to render a decision at the initial hearing. 

(d) In all cases a final decision shall be rendered within 30 
days of the written request for a hearing . 

Statutory Authority G.S. 122C-1 12(a); 122C-151.4. 

SECTION .0800 - GENERAL RULES FOR INFANTS 
AND TODDLERS 



.0801 SCOPE 

The Rules in this Section shall apply to any facility which 
serves infants and toddlers with or at risk for developmental 
disabilities, delays or atypical development, except for respite. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0802 DEFINITIONS 

In addition to the definitions contained in G.S. 122C-3 and 
Rule .0103 of this Subchapter, the following definitions shall 
also apply: 



iH 



OH 

(s) 



"Atypical development" in children means those from 
birth to 60 months of age who: 
have autism: 



are diagnosed hyperactive; 

have an attention deficit disorder or other behav- 
ioral disorders; or 
(d) exhibit evidence of, or are at risk for, atypical 
patterns of behavior and social-emotional develop- 
ment in one or more of the following areas: 
(i) delays or abnormalities in achieving emotional 

milestones, 
(ii) difficulties with: 



(A) 

LB] 
LQ 
(B) 

IE) 



Lull 



attachment and interactions with parents, 
other adults, peers, materials and objects; 
ability to communicate emotional needs; 
motor or sensory development; 
ability to tolerate frustration and control 
behavior; or 

ability to inhibit aggression; 
fearfulness, withdrawal, or other distress that 



does not respond to the comforting of caregivers; 
(iv) indiscriminate sociability; for example, excessive 

familiarity with relative strangers; 
(v) self-injurious or other aggressive behavior; 
(yi) substantiated evidence that raises concern for the 

child's emotional well-being regarding: 

(A) physical abuse; 

(B) sexual abuse; or 

(C) other environmental situations; 

as defined in G.S. 7A-517(1) and (21). 
(3) "Developmentally delayed children" means those 

whose development is delayed in one or more of the 
following areas: cognitive development; physical 
development, including vision and hearing; communi- 
cation, social and emotional; and adaptive skills. The 
specific level of delay must be: 

(a) for children from birth to 36 months of age, docu- 
mented by scores one and one-half standard devia- 
tions below the mean on standardized tests in at 
least one of the above areas of development. Or, 
it may be documented by a 20 percent delay on 
assessment instruments that yield scores in months; 
and 

(b) for children from 36 to 60 months of age, docu- 
mented by test performance two standard deviations 
below the mean on standardized tests in one area of 



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499 



PROPOSED RULES 



(41 



(a) 



QU 



<^> 



development or by performance that is one standard 
deviation below the norm in two areas of develop- 
ment. Or, it may be documented by a 25 percent 
delay in two areas on assessment instruments that 
yield scores in months, 
'Early Intervention Services" means those services 



provided for infants and toddlers specified in Section 
303. 12 of Subpart A of Part 303 of Title 34 of the 
Code of Federal Regulations, published 1/1/92 and 
incorporated by reference. This adoption by refer- 
ence includes subsequent amendments and editions of 
the referenced material, which may be obtained at no 
cost from the Branch Head, Child and Adolescent 
Services. Developmental Disabilities Section, Divi- 
sion of MH/DD/SAS, 325 N^ Salisbury Street, 
Raleigh, NC 27603. 
For the purposes of these services, "transporta- 
tion" means assistance in the travel to and from the 
multidisciplinary evaluation, specified early inter- 
vention services provided by certified developmen- 
tal day centers or other center-based services 
designed specifically for children with or at risk for 
disabilities, and speech, physical or occupational 
therapy, or other early intervention services if 
provided in a specialized setting away from the 
child's residence. 

Transportation assistance may be provided by staff, 

existing public or private services, or by the family. 

who shall be reimbursed for their expenses, in 

accordance with applicable fee provisions. 

For the purposes of these services, "special 

instruction" means individually designed education 

and training in the strengths and needs of the child 

and family as identified in the multidisciplinary 

evaluation, in which the focus is on the major 

developmental areas and individual family needs. 

It occurs in two primary types of settings; home 

and mainstreamed center-based: 

(Jj The mainstreamed center-based settings may be 

those designed primarily for children with or at 

risk for disabilities, such as developmental day 

centers or therapeutic pre schools, if they allow 

for planned and ongoing contact with children 

without disabilities. 

(ii) Mainstreamed center-based settings also include 

those established primarily for children without 

disabilities, such as pre schools, family day care 

homes, licensed child care centers: 

(A) when provided in these programs, special 
instruction also includes consultation and 
training for staff on curriculum design, teach- 
ing and behavior management strategies, and 
approaches to modification of the environ- 
ment to promote learning; and 

(B) sen'ice coordination activities, including 
assistance to the family in identifying such 
programs must be provided with special 



instruction, if requested by the family. 

(5) "Health Services" means those services provided for 
infants and toddlers specified in Section 303.13 of 
Subpart A of Part 303 of Title 34 of the Code of 
Federal Regulations, published 6/22/89 and incorpo- 
rated by reference. This incorporation by reference 
does not include subsequent amendments and editions 
of the referenced material. 

(6) "High nsk children" means those from birth to 36 
months of age for whom there is clinical evidence of 
conditions which have a high probability of resulting 
in developmental delay or atypical development and 
for whom there is clinical evidence that developmen- 
tal or therapeutic intervention may be necessary. 
There are two categories of high risk children. 
These are: 

(a) High Risk-Established: Diagnosed or documented 

physical or mental conditions which are known to 
result in developmental delay or atypical develop- 
ment as the child matures. Such conditions in- 
clude, but need not be limited to the following: 
chromosomal anomaly or genetic disorders 



ill 
ill} 
(iii) 
(iy) 

tyj 

[yi] 

(vii) 

(yjiij 



associated with developmental deficits: 

metabolic disorders associated with developmental 

deficits; 

infectious diseases associated with developmental 

deficits; 

neurologic disorders; 

congenital malformations: 

sensory disorders; or 

toxic exposure; or 

severe attachment disorders. 



LbJ 



ill 

(ii] 
(iiil 
tiyj 

(Y) 

(vi) 
(vii) 



High Risk-Potential: Documented presence of 
indicators which are associated with patterns of 
development and which have a high probability of 
meeting the criteria for developmental delay or 
atypical development as the child matures. There 
shall be documentation of at least three of the 
parental or family, neonatal, or postneonatai risk 
conditions as defined on page 12 in the 1990 
publication, "NORTH CAROLINA CHILD SER- 
VICE COORDINATION PROGRAM" available 
from the Division of Maternal and Child Health, 
Department of Environment, Health and Natural 
Resources, P.O. Box 27687, Raleigh, NC 
2761 1-7687 and incorporated by reference. This 
incorporation by reference does not include subse- 
quent amendments and editions of the referenced 
material. These conditions are as follows: 

maternal age less than 15 years; 

maternal PKTJ; 

mother HIV positive; 

maternal use of anticonvulsant, antineoplastic or 

anticoagulant drugs; 

parental blindness; 

parental substance abuse; 

parental mental retardation; 



500 



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10:7 



PROPOSED RULES 



(viii) parental mental illness; 

(ix) difficulty in parental or Infant bonding; 

(x) difficulty in providing basic parenting; 

(xi) lack of stable housing; 

(xii) lack of familial and social support; 

(xiii) family history of childhood deafness; 

(xiv) maternal hepatitis B; 

(xv) birth weight less than 1500 grams, 

(xvi) gestational age less than 32 weeks; 

(xvii) respiratory distress (mechanical ventilator greater 

than six hours); 

(xviii) asphyxia; 

(xix) hypoglycemia (less than 25 mg/dl); 

(xx) hyperbilirubinemia (greater than 20 mg/dl); 

(xxi) intracranial hemorrhage; 

(xxii) neonatal seizures; 

(xxiii) major congenital anomalies; 

(xxiv) CNS infection or trauma; 

(xxv) congeni tally acquired infection; 

(xxvi) suspected visual impairment; 

(xxvii) suspected hearing impairment; 

(xxviii) no well child care by age six months; 

(xxix) failure on standard developmental or sensory 

screening test; 

(xxx) significant parental concern; and 

(xxxi) suspected abuse or neglect. 

Statutory Authority G.S. 122C-3; 122C-26; 143B-147. 

.0803 GENERAL REQUIREMENTS FOR INFANTS 
AND TODDLERS 

For all facilities serving infants and toddlers with or at risk for 
developmental disabilities, delays or atypical development, 
except for respite, there shall be: 

( 1) an assessment which includes: 

(a) physical (including vision and hearing), communi- 
cation, cognitive, social and emotional and adaptive 
skills development, and the requirements set forth 
in 34 C.F.R. Part 303.344 (a)(2); 

(b) a determination of the child's unique strengths and 
needs in terms of these areas of development and 
identification of services appropriate to meet those 
needs; 

(c) if requested by the family, a determination of the 
resources, priorities and concerns of the family, 
and the su pports and services necessary to enhance 
the family's capacity to meet the developmental 
needs of their infant or toddler with or at risk for a 
disability. The family-focused and directed assess- 
ment shall be based on information provided 
through a personal interview and incorporate the 
family's description of these resources, priorities, 
and concerns in this area; 

(d) procedures developed and implemented to ensure 
participation by the client's family or the legally 
responsible person; 

(e) no single procedure used as the sole criterion for 



determining a child's eligibility; 

(f) an integrated assessment process which involves at 
least two persons, each representing a different 
discipline or profession, with the specific number 
and types of disciplines based on the particular 
needs of the child: 

(i) The assessment shall include current medical 
information provided by a physician, physician's 
assistant, or nurse practitioner; however, a physi- 
cian, physician's assistant, or nurse practitioner is 
not required as one of the disciplines involved in 
the assessment; and 

(ii) Further information regarding the assessment may 
be found in the document "Eligibility Determina- 
tion for the Infants-Toddler Program", published 
by the Department of Environment, Health, and 
Natural Resources, and available from the Devel- 
opmental Disabilities Section of DMH/DD/SAS 
at no cost upon request. 

(g) an evaluation process based on informed clinical 
opinion; 

(h) an assessment process completed within 45 calendar 
days from the date of referral. The referral shall 
be initiated by a request for these services made to 
any one of the public agencies participating in the 
Part H of the Individuals with Disabilities Educa- 
tion Act Interagency Agreement. The request shall 
become a referral when the area program deter- 
mines that all of the following is available: 
(i) sufficient background information to enable the 
agency receiving the referral to establish commu- 
nication through a telephone call or home visit; 
(ii) reason for referral, date of referral and agency or 

individual making referral ; 
(iii) child and family identifying information such as 
names, child's birthdate and primary physician; 
and 
(iv) summary of any pre-existing child and family 
screening or assessment information; 
(i) a 45 calendar day completion requirement which 
may be extended in exceptional circumstances, such 
as, the child's health assessment is being completed 
out-of-state, or family desires make it impossible to 
complete the assessment within the time period. 
The specific nature and duration of these circum- 
stances which prevent completion within 45 days 
and the attempts made by the provider to complete 
the assessment shall be documented and an interim 
IFSP shall be developed and implemented; and 
(j) the child's family or legally responsible person shall 
be fully informed of the results of the assessment 
process. 
(2) There shall be a habilitation plan which is referred to 
as the Individualized Family Service Plan (IFSP) 
which shall include: 
(a) a description of the child's present health status and 
levels of physical (including vision and hearing), 



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501 



PROPOSED RULES 



communication, cognitive, social and emotional. 



and adaptive development; 

(b) with the concurrence of the family, a description of (d) 
the resources, priorities and concerns of the family 
and the supports and services necessary to enhance 
the family's capacity to meet the developmental 
needs of their infant and toddler with or at risk for 
a disability; 

(c) goals for the child, and, if requested, goals for the 
child's family; 

(d) criteria and time frames to be used to determine 
progress towards goals; 

(e) planned habilitation procedures related to the goals; 

(f) a statement of the specific early intervention ser- 
vices to be provided to meet the identified child and 
family needs, the initiation dates, frequency and 
method, duration, intensity and location (including 
the most natural environment) of service delivery, (e) 
and the persons or agencies responsible, 

(g) the name of the service coordinator from the 
profession most immediately relevant to the needs 
of the child or family; and who is otherwise quali- 
fied to carry out all applicable responsibilities for 
coordinating with other agencies and individuals the 
implementation of the IFSP; 

(h) the plans for transition into services which are the 
responsibility of the NC Department of Public 
Instruction, or other available services, when [fj 

applicable; 

JjJ the payment arrangements for the specific services 
delineated in Subparagraph (3)(c)(vi) of this Rule; 

(j) a description of medical and other services needed 
by the child, but which are not required under Part 
H of the Individuals with Disabilities Education 
Act, and the strategies to be pursued to secure those 
services through public or private resources. The 
requirement regarding medical services does not 
apply to routine medical sen'ices, such as immuni- 
zation and well-babv care, unless the child needs 
these services and they are not otherwise available (ii) 

£3) The IFSP shall be: 

(a) reviewed on at least a semi-annual basis or more (iii) 
frequently upon the family's request; 

(b) revised as appropriate, but at least annually; and (iv) 

(c) include in the initial development and annual 
revision process for the IFSP for infants and tod- (g) 
dlers, participation by: 

£i) the parent or parents of the child; 

(ii) other family members, as requested by the par- 
ent; 

(iii) an advocate or person outside of the family if the (h) 

parent requests participation; 

(iv) the provider of the early intervention services; 
(v) the service coordinator designated for the family, 

if different from the provider of the early inter- (i) 

vention services; and 

(vi) the provider of the assessment service, if different 



from the provider of the early intervention ser- 
vices. 
The initial IFSP meeting and annual reviews shall 
he arranged and written notice provided to families 
early enough to promote maximum opportunities 
for attendance. The semi-annual review process 
shall include participation by persons identified in 
Subparagraphs (3)(c)(i) through (v) of this Rule. If 
any of these assessment and intervention providers 
are unable to attend one of the development or 
review meetings, arrangements may be made for 
the person's involvement through other means such 
as participation in a telephone conference call, 
having a knowledgeable authorized representative 
attend the meeting or making pertinent records 
available at the meeting. Such arrangements must 
be approved by all of the participants. 
The IFSP for infants and toddlers shall be based 
upon the results of the assessment referenced in 
Paragraph ( 1) of this Rule and upon information 
from any ongoing assessment of the child and 
family. However, early intervention services may 
commence before completion of this assessment ifi 
(jj parental consent is obtained; and 
(ii) the assessment is completed within the 45 -day 
time period referenced in Paragraph (a) of this 
Rule. 
In the event that exceptional circumstances, such as 
child illness, residence change of family, or any 
other similar emergency, make it impossible to 
complete the assessment within the 45-day time 
period referenced in Paragraph (1) of this Rule, the 
circumstances shall be documented and an interim 
IFSP developed with parent permission. The 
interim IFSP shall include: 



(i) the name of the sen ice coordinator who will be 
responsible for the implementation of the IFSP 
and coordination with other agencies and individ- 
uals; 

goals for the child and family when recom- 
mended; 

those early intervention services that are needed 
immediately; and 

suggested activities that may be earned out by the 
family members. 
Each facility or individual who has a direct role in 
the provision of early intervention services specified 
in the IFSP is responsible for making a good faith 
effort to assist each eligible child in achieving the 
goals set forth in the IFSP. 

The IFSP shall be developed within 45 days of 
referral for those children determined to be eligible. 
The referral shall be as defined in Subparagraph 
(l)(h) of this Rule. 

The contents of the IFSP shall be fully explained to 
the parents, and informed written consent from the 
parents shall be obtained prior to the provision of 



502 



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10:7 



PROPOSED RULES 



early intervention services described in the plan. If 
the parents do not provide consent with respect to 
a particular early intervention service, or withdraw 
consent after first providing it^ that service shall not 
be provided. The early intervention services for 
which parental consent is obtained must be pro- 
vided. 
(j) IFSP meetings shall be conducted in settings conve- 
nient to and in the natural language of the family. 
(4) The C.F.R. incorporated by reference in this Rule 
includes subsequent amendments and editions of the 
referenced material. A copy of the C.F.R. is avail- 
able at no cost from DMH/DD/SAS. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0804 SURROGATE PARENTS 

(a) Circumstances Requiring Surrogate Parents. The area 
program shall assure the availability of a surrogate parent for 
infants and toddlers eligible for early intervention services 
when: 

(1) a biological parent or guardian cannot be identified; 

(2) efforts to locate the parent are unsuccessful, or 

(3) the child is involved in a voluntary placement 
agreement or is placed in protective custody 
through the local Department of Social Services. 

(b) Identifying Need For And Selection Of A Surrogate 
Parent: 

The child service coordinator shall be responsible 

for identifying the need for a surrogate parent. 

Identification shall be based on any pertinent 

information and input from, 
the local Department of Social Services; and 
anyone serving on the Infant/Toddler Interagency 
Council. 






(A) 

m 



O) 



The Area Program Director, or a designee, serving 
the county of the child's legal residence shall select 
the surrogate parent, 
(c) Responsibilities Of A Surrogate Parent. A surrogate 

parent shall have the responsibility of being an active spokesper- 

son for a child in matters related to the: 



ill 



12) 



evaluation and assessment of the child; 
development and implementation of the child's 
IFSP, including annual evaluations and periodic 
reviews; and 



ongoing provision of early intervention services to 
the child. 
[d] Priorities For Selection Of A Surrogate Parent: 

(1) The area program shall make every effort to select 
a surrogate parent who has close ties to the child. 

(2) In instances when children are placed in foster care 
or in the care of another individual, the biological 
parents or guardian shall be given first consider- 
ation to act as the surrogate parent. 

(3) The following order of priority shall then be con- 
sidered when selecting the surrogate parent: 

(A) person "acting as a parent" : A grandparent. 



IB) 

ID) 
(E) 



governess, neighbor, friend, or private individual 
who is caring for the child; 
interested relative; 



foster parent; 

friend of the child's family; or 
other individuals. 
(4) Approval of the selection of the surrogate parents 

shall be obtained from either the biological parents 
or guardian, 
(e) Criteria For Selection Process. Anyone who serves as a 
surrogate parent shall: 



LU 

01 

Ql 
L4J 



not have conflicting interests with those of the child 
who is represented; 

have knowledge and skills that ensure the best 
possible representation of the child; 
not have any prior history of abuse or neglect; or 
not be an employee of the agency involved in the 
provision of early intervention or other services for 
the child. However, a person who otherwise 
qualifies to be a surrogate parent js not considered 
an employee based on being paid by a public 
agency to serve as a surrogate or foster parent. 
(JQ Training Requirements For A Surrogate Parent: 

(1) Anyone who serves as a surrogate parent, and is 
not related to the child, shall have participated in 
training provided by or approved by the area 
mental health, developmental disabilities and sub- 
stance abuse program. 

(2) Training shall include, but not be limited to, the 
following topics: 

Part H of the Individuals with Disabilities Educa- 
tion Act, regarding parents' rights, entitlements 
for children, and services offered; 
developmental and emotional needs of eligible 
infants and toddlers; 
available advocacy services; and 
relevant cultural issues if the child's culture is 
different from that of the surrogate parent. 

(3) The level of training approach shall be based on 
needs of the surrogate parent, as determined by the 
surrogate parent in conjunction with the area 
program. 

Statutory Authority G.S. I43B-147; 20 U.S.C. Sections 1401 et. 
seq. , 1471 et. seq. 

.0805 PROCEDURAL REQUIREMENTS 

(a) General Area Program Requirements. Area programs 
and contract agencies shall comply with Section 303.402 of 
Subpart E of Part 303 of Title 34 of the Code of Federal 
Regulations relating to: 

(1) the right of the parents of an eligible child to 

examine records. 



1AJ 



IS) 

1C] 
ID) 



m 

(3) 



the requirement of prior notice to parents of an 
eligible child in the parents' native language. 
the requirement of parental consent. The period of 
reasonable time referenced in 303.403(a) shall be 



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503 



PROPOSED RULES 



construed to be no less than two weeks. 

(4) early intervention services (infants and toddlers 
referred for services shall be assessed in accordance 
with the provisions of Rule .0803 of this Subchap- 
ter, admitted in accordance with the provisions of 
Subparagraphs (a)(3) and (4) of Rule .0201 of this 
Subchapter, and receive services in accordance with 
the provisions of Rule .0803 of this Subchapter: 
and 

(5) surrogate parents. 

(b) Complaint Resolution/Mediation: 

(1) Parents of an eligible child shall have the right to a 
timely administrative resolution of any complaints 
concerning an area program's or contract agency's 
proposal or refusal to initiate or change the identifi- 
cation, evaluation or placement of the child, or 
concerning the provision of appropriate early 
intervention services to the child and the child's 
family. The parents of an eligible child shall also 
have the right to mediation of such complaints. 

(2) Whenever an area program or contract agency 
becomes aware that the parents of an eligible child 
disagree with any decision regarding early interven- 
tion services for their child, the area program or 
contract agency, whichever is appropriate, shall 
immediately advise the parents regarding the 
availability of, and procedure for, requesting 
complaint resolution under this Section. 

(3) A request by parents of an eligible child for admin- 
istrative resolution or mediation of a complaint shall 
be in writing and sent to the Director of the area 
program in which the eligible child is receiving 
services. 

(4) A request by parents of an eligible child for admin- 
istrative resolution or mediation of a complaint shall 
contain the following: 

(A) name and address of the child; 

(B) name and address of the parent; 

(C) name and address of the area program or contract 
agency against whom the complaint is made; 

(D) a statement of facts describing in sufficient detail 
the nature of the complaint; 

(E) the signature of the complaining parent and the 
date of signing; and 

(F) whether the parent desires mediation prior to the 
administrative resolution of his complaint. 

(5) Parents of an eligible child may request mediation 
to resolve a complaint as an intervening step prior 
to the administrative proceeding. If mediation is 
requested, the mediation shall take place prior to 
the administrative proceeding. 

(6) If mediation or administrative proceeding is re- 
quested, an impartial person shall be: 

(A) subject to qualifications of an impartial person as 
specified in Section 303.421 of Subpart E of Part 
303 of Title 34 of the Code of Federal Regula- 
tions and incorporated by reference. This incor- 



poration by reference shall include any subse- 
quent amendment and editions of the referenced 
material. 

(B) selected from a list of mediators and administra- 
tive hearing officers a pproved by the Chief of the 
Developmental Disabilities Section of 
DMH/DD/SAS; and 

(C) appointed by the area director to serve as a 
mediator; 

(7) DMH/DD/SAS shall provide a training program 
for the mediators and the administrative hearing 
officers. 

(8) Mediation may not be used to deny or delay a 
parent's right to speedy complaint resolution. The 
mediation, administrative proceeding and written 
decision must be completed within the 30-day 
timeline set forth in Rule .0917 of this Section. 

(c) Scheduling Administrative Proceedings. Upon receipt of 
written request for administrative complaint resolution ± the 
Director of the area program in which the eligible child is 
receiving services shall schedule an administrative proceeding 
in accordance with the requirements of this Section. The 
parents shall be notified in writing of the date, time and location 
of the proceeding no later than seven calendar days prior to the 
hearing by the area director. The hearings must be scheduled 
at a time and place that is reasonably convenient to the parents. 

(d) Authority And Responsibilities Of Impartial Person: 

(1) The hearing officer shall have the powers listed in 
G.S. 150B-33, and in addition shall have the 
following authority: 

(A) to establish reasonable time limitations on the 
parties' presentations; 

(B) to disallow irrelevant, immaterial or repetitive 
evidence; 

(C) to direct that additional evaluations of the child be 
performed; 

(D) to make findings of fact and conclusions of law 
relevant to the issues involved in the hearing: 

(E) to issue subpoenas for the attendance of witnesses 
or the production of documents; and 

(F) to specify the type and scope of the early inter- 
vention services to be offered the child, where the 
proposed services are found to be inappropriate. 

(2) The hearing officer does not have the authority to: 

(A) determine that only a specific program, specific 
early intervention staff person or specific service 
provider is appropriate for the pupil; or 

(B) determine noncompliance with state law and 
regulations. 

(3) The decision of the hearing officer shall be in 
writing and shall contain findings of fact, conclu- 
sions of law and the reasons for the decision. The 
hearing officer shall mail a copy of the decision to 
each party by certified mail, return receipt re- 
quested. 

(4) The hearing officer shall inform the parent that the 
parent may obtain a transcript of the hearing at no 



504 



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PROPOSED RULES 



cost. 
{e) Parent Rights In Administrative Proceedings. Parents of 
an eligible child shall have the rights set forth in Section 
303.422 of Subpart E of Part 303 of Title 34 of the Code of 
Federal Regulations. 

(fj Timelines. The administrative proceeding shall be 
completed, and a written decision mailed to each of the parties 
within 30 days after the receipt of a parent's complaint as 
described in Rule .0913 of this Section. 

£g) Civil Action. Section 303.424 of Subpart E of Part 303 
of Title 34 of the Code of Federal Regulations relating to the 
availability of a civil action for any party aggrieved by the 
findings and decision in an administrative proceeding is adopted 
by reference and shall include any subsequent editions and 
amendments. 

£h) Status Of Child During Proceedings. Section 303.425 of 
Subpart E of Part 303 of Title 34 of the Code of Federal 
Regulations relating to the status of a child during an adminis- 
trative proceeding is adopted by reference and shall include any 
subsequent editions and amendments. 

£j] Confidentiality. Personally identifiable information 
concerning an eligible child or family member of an eligible 
child is confidential and may not be disclosed or acquired 
except as provided by Rule .0921, .0922, and .0924 of this 
Section. 

(]} Disclosure Of Confidential Information To Employees. 
An area program or contract agency may disclose confidential 
information to its employees who have a legitimate need for 
access to the information. 

(k) Written Consent Required. Except as provided in Rule 
.0913 of this Section, all disclosures of confidential information, 
including disclosures between an area program and contract 
agency, may be made only with the written consent of the 
parents. Client information may be disclosed between agencies 
participating in the provision of early intervention services in 
accordance with G.S. 122C-53(a), 122C-55(c), 122C-55(f), or 
122C -55(h), as appropriate. However, the extent of informa- 
tion disclosed shall be limited to that information which is 
necessary to carry out the purpose of the disclosure. Parents 
shall be informed of their right to refuse to consent to the 
release of confidential information. 
Q] Content Of Written Consent: 
(1) When consent for release of information is obtained 
by an area program or contract agency covered by 
the rules in this Subchapter, a consent for release 
form containing the information in this Subpara- 
graph shall be utilized. The consent form shall 
contain the following information: 
child's name; 

name of party releasing the information; 
name of individual or agency to whom informa- 
tion is being released; 
information to be released; 



(A) 
(B) 
(CJ 

(E) 
ID 
(G) 



purpose for the release; 
length of time consent is valid; 
a statement that the consent is subject to revoca- 
tion at any time; 



(H) signature of parent; 
(T) signature of individual witnessing the consent; 

and 
(T) date the consent is signed. 
(2) The release shall be effective only until the initial 
Individual Family Service Plan is developed, or, if 
an Individual Family Service Plan has been devel- 
oped, until the next Individual Service Plan review, 
(m) Release To Public Schools. With the consent of the 
parents, confidential information may be provided to the public 
schools if and when the child is enrolled m a program under 
Part B of the Education of the Handicapped Act. If the parents 
refuse to consent, confidential information shall not be released 
to the public schools. 

(n) Consent To Receive Services. The parents of a child, 
eligible to receive early intervention services, may determine 
whether they, their child, or other family members will accept 
or decline any type of early intervention service without 
jeopardizing the right to receive other early intervention 
services. 

Authority G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et. seq. , 1471 et. seq. 

SECTION .0900 - .1000 - RESERVED FOR 
FUTURE CODIFICATION 

SECTION .1100 - PARTIAL HOSPITALIZATION 

FOR INDrVTDUALS WHO ARE 

ACUTELY MENTALLY ILL 

.1101 SCOPE 

A partial hospitalization facility is a day/night facility which 
provides a broad range of intensive and therapeutic approaches 
which may include group, individual, occupational, activity and 
recreational therapies, training in community living and specific 
coping skills, and medical services as needed primarily for 
acutely mentally ill individuals. This facility provides services 
to! 

(1) prevent hospitalization; or 

(2) to serve as an interim step for those leaving an 
inpatient hospital. 

This facility provides a medical component in a less restrictive 
setting than a hospital or a residential treatment or rehabilitation 
facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.1102 STAFF 

(a) Staff shall include at least one qualified mental health 
professional, 
fb) Each facility serving minors shall have: 
(1) a program director who has a minimum of two 
years experience in child or adolescent services and 
who has educational preparation in administration, 
education, social work, nursing, psychology or a 
related field; 



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PROPOSED RULES 



(2) one staff member present if only one client is in the 
program, and two staff members present when two 
or more clients are in the program; and 

(3) a minimum ratio of one staff member present for 
every eight clients at al] times. 

(c) Each facility serving adults shall have a minimum ratio of 
one staff member present for every six clients at all times. 

Statutory Authority- G.S. 122C-26; 143B-147. 

.1103 OPERATIONS 

(a) A physician shall participate in diagnosis, treatment 
planning, and admission and discharge decisions. This physi- 
cian shall be a psychiatrist unless a psychiatrist is unavailable or 
for other good cause cannot be obtained. 

(b) Each facility shall operate for a minimum of four hours 
per day (exclusive of transportation time), five days per week, 
excluding legal or governing bod\ designated holidays. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .1200 - PSYCHOSOCIAL 

REHABILITATION FACILITIES FOR INDrVIDUALS 

WITH SEVERE AND PERSISTENT MENTAL 

ILLNESS 

.1201 SCOPE 

A psychosocial rehabilitation facility is a day/night facility 
ahich provides skill development activities, educational 
services, and pre-vocational training and transitional and 
supported employment services to individuals with severe and 
persistent mental illness. Services are designed primarily to 
serve individuals who have impaired role functioning that 
adversely affects at least two of the following: employment, 
management of financial affairs, ability to procure needed 
public support services, appropriateness of social behavior, or 
activities of daily living. Assistance is also provided to clients 
in organizing and developing their strengths and in establishing 
peer groups and community relationships- 

Statutory Authority G.S. 122C-26; 143B-147. 



management, grooming; 

(C) social relationships; 

(D) use of leisure time, 

(2) educational activities which include assisting the 
client in securing needed education services such as 
adult basic education and special interest courses; 
and 

(3) prevocational services which focus on the develop- 
ment of positive work habits and participation in 
work activities. 

(b) Employment Services. Each facility shall provide 
transitional or supported employment services to facilitate client 
entry into competitive employment. 

( 1 ) When supported employment services are provided 
by the facility, each client shall be one for whom 
competitive employment has not traditionally 
occurred or has been interrupted or intermittent as 
a result of severe mental illness. 

(2) When supported employment is to be provided by 
the facility, one of the following models shall be 
used: 

(A) job coaching and supervision of individuals in an 
industry or business: 

(B) mobile crew service jobs of eight or fewer work- 
ers in the community under the training and 
supervision of a crew leader: or 

(C) small business enterprises operated with eight or 
fewer workers with training and supervision 
provided on site. 

(3) When transitional employment services are pro- 
vided by the facility: 

(A) There shall be an agreement between the facility 
and employer for a specific job and the job shall 
first be performed by a facility staff member to 
determine its technical requirements. 

(B) The selection of a client to fill a placement is the 
responsibility of the facility and the individual 
client. 

(c) Operating Hours. Each facility shall operate for a 
minimum of five hours per day, five days per week (exclusive 
of transportation time). 



,1202 STAFF 

(a) Each facility shall have a designated program director. 

(b) A minimum of one staff member on-site to each eight or 
fewer clients in average daily attendance shall be maintained. 

Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; I43B-I47. 

SECTION .1300 - RESIDENTIAL TREATMENT 

FOR CHILDREN AND ADOLESCENTS WHO 

ARE EMOTIONALLY DISTURBED OR WHO 

HAVE A MENTAL ILLNESS 



. 1203 OPERATIONS 

(a) Skills development, educational and prevocational 
sen ices. Each facility shall provide: 

( 1 ) skills development activities which include: 

(A) community living, such as housekeeping, shop- 
ping, cooking, use of transportation facilities, 
money management; 

(B) personal care such as health care, medication 



.1301 SCOPE 

(a) A residential treatment facility for children and adoles- 
cents is a free-standing residential facility which provides a 
structured living environment for children and adolescents who 
have a primary diagnosis of mental illness or emotional 
disturbance and who may also have other disabilities and for 
whom removal from home is essential to facilitate treatment. 



(b) Services shall be designed to address the functioning level 



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PROPOSED RULES 



of the child or adolescent and include training in language or 
communication skills, social relationships, and recreational 
skills. Some children or adolescents may be able to receive 
services in a day treatment facility, have a job placement, or 
attend public schools; for others, special education services may 
need to be offered within the residential setting. 

(c) Different levels of residential treatment programs shall be 
provided to meet the individual needs of the children and 
adolescents placed in the facility. 

(d) Treatment, services, and discharge plans provided by 
residential treatment facilities shall be coordinated with other 
individuals and agencies within the client's local system of care. 

Statutory Authority G.S. 122C-26; 143B-147. 

.1302 STAFF 

(a) Each facility shall have a director who has a minimum of 
two years experience in child or adolescent services and who 
has educational preparation in administration, education, social 
work, nursing, psychology or a related field. 

(b) At all times, at least one direct care staff member shall be 
present with every four children or adolescents. If children or 
adolescents are cared for in separate buildings, the ratios shall 
apply to each building. 

(c) When two or more clients are in the facility, an emer- 
gency on-call staff shall be readily available by telephone or 
page and able to reach the facility within 30 minutes. 

(d) Psychiatric consultation shall be available as needed for 
each client. 

(e) Clinical consultation shall be provided by a qualified 
mental health professional to each facility at least twice a 
month. 

Statutory Authority G.S. 122C-26; 143B-147. 

.1303 OPERATIONS 

(a) Capacity. Each facility shall serve no more than a total 
of 12 children and adolescents, except as set forth in this Rule. 

(1) Any facility licensed as a Residential Treatment 
Facility in this category on 1 Z4/94 and providing 
services to more than a total of _12 children and 
adolescents may continue to provide services at no 
more than the facility's licensed capacity, providing 
that the capacity does not exceed 24. 

(2) Any Child Caring Institution which was licensed by 
the Division of Social Services on 1/4/94 mav seek 



(A) 



(D 



(Q 



licensure as a Residential Treatment Facility as 

follows: 
the capacity of each residential unit in the Resi- 
dential Treatment Facility shall be limited to 12 
children and adolescents; 

each residential unit will be administered, staffed, 
and located to function separately from all other 
residential units in the facility; and 
the overall capacity shall be limited to the current 
capacity of the institution at the time of licensure 
as a Residential Treatment Facility. 



(A) 

cm 



(3) The two former Child Caring Institutions that were 
licensed as Residential Treatment Facilities in this 
category on 4/1/90 shall be: 

exempt from the capacity limit of 24; 

exempt from the provisions in Subparagrap hs 

(2XA) and (B) of this Rule; and 

limited to the licensed capacity existing on July J^ 

1993. 

(b) Parental Involvement. Residential treatment facilities are 
expected to involve parents or other responsible adults in 
development of treatment goals and plans. 

(c) Age Limitation. If an adolescent has his 18th birthday 
while receiving treatment in a residential facility, he may 
continue in the facility for six months or until the end of the 
state fiscal year, whichever is longer. 

(d) Clothing. Each child or adolescent shall have his own 
clothing and shall have training and help in its selection and 
care. 

(e) Personal Belongings. Each child or adolescent shall be 
entitled to age-appropriate personal belongings unless such 
entitlement is counter-indicated in the treatment plan. 

(d) Hours of Operation. Each facility shall operate 24 hours 
per day, at least five days per week, at least 50 weeks per year, 
excluding legal holidays. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .1400 - DAY TREATMENT FOR 

CHILDREN AND ADOLESCENTS WHO 

ARE EMOTIONALLY DISTURBED OR 

WHO HAVE A MENTAL ILLNESS 

.1401 SCOPE 

(a) Day treatment is a day/night facility for children and 
adolescents who are emotionally disturbed which coordinates 
educational activities and intensive treatment while allowing the 
individual to live at home or in the community. 

(b) This service is designed to increase the ability of a child 
or adolescent to relate to others and function a ppropriately 
within the community while serving as an intervention to 
prevent hospitalization or placement outside the home or 
community. 

(c) It shall provide a therapeutic environment as well as other 
activities which may include individual therapy, group therapy, 
recreational therapy, language communication skills develop- 
ment, social skills development, pre-vocational service, voca- 
tional training, service to parents, and individual advocacy. 

(d) The client's educational activities may be provided in this 
facility or in another educational setting, such as regular classes 
or special education programs within a typical school setting. 

(e) Treatment, services, and discharge plans provided by Day 



Treatment programs shall be coordinated with other individuals 
and agencies within each client's local system of care. 

(f) Day treatment facilities may include before/after school 
and summer facilities, and early intervention. 

Statutory Authority G.S. 122C-26; 143B-147. 



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507 



PROPOSED RULES 



,1402 STAFF 

(a) Each facility shall have a program director who has a 
minimum of two years experience in child or adolescent 
services and who has educational preparation in administration, 
education, social work, nursing, psychology or a related field. 

(b) A minimum of two staff members shall be present with 
clients at all rimes except on occasions when only one client is 
in the program, in which case only one staff member is 
required to be present. 

(c) A minimum ratio of one staff member to every eight 
clients shall be maintained at all times. 

(d) Psychiatric consultation shall be available for each client. 

Statutory Authority G.S. 122C-26; 143B-147. 

1403 OPERATIONS 

(a) If an adolescent has his 18th birthday while receiving 
treatment in a day treatment facility, he may continue in the 
facility for six months or until the end of the state fiscal year, 
whichever is longer. 

(b) If an older client presents with needs developmentally 
characteristic of this age group, he may be considered for 
admission. 

Statutory Authority G.S, 122C-26; 143B-147. 

SECTION .1500 - INTENSIVE RESIDENTIAL 

TREATMENT FOR CHILDREN AND 

ADOLESCENTS WrTH EMOTIONAL 

OR BEHAVIORAL DISTURBANCES 

.1501 SCOPE 

(a) An intensive residential treatment facility for children and 
adolescents with emotional and/or behavioral disturbances is a 
short-term, 24-hour residential program providing a structured 
living environment for children and adolescents who do not 
meet criteria for acute inpatient care and whose needs require 
more intensive treatment and supervision than would be 
available in a community residential treatment facility. Inten- 
sive residential treatment is not intended to be a long-term 
residential placement for children and adolescents who must be 
permanently removed from their homes. 

(b) Services shall be designed to address the functioning level 
of the child and adolescent and include training in language or 
communication skills, social relationships, and behavioral skills 
necessary to move to a community setting. Services may also 
include monitoring medication trials. 

(c) The target population to be served in an intensive 
residential setting is children and adolescents for whom removal 
from home or a community-based residential setting is essential 
to facilitate treatment. Intensive residential treatment is targeted 
toward children and adolescents who no longer meet criteria for 
inpatient psychiatric services and need a step-down placement 
prior to community placement, or those who have been placed 
in a community residential setting and need a more intensive 
treatment program. 



Statutory Authority G.S. 143B-147. 

.1502 STAFF 

(a) Each facility shall have a director who has a minimum of 
three years experience in child or adolescent services and who 
has educational preparation in administration, education, social 
work, nursing, psychology or a related field. 

(b) At all times, at least one direct care staff member shall be 
present with every four children or adolescents in each residen- 
tial unit. 

(c) When two or more clients are in the facility, an emer- 
gency on-call staff shall be readily available by telephone or 
page and able to reach the facility within 30 minutes. 

(d) If the facility is hospital based, staff shall be specifically 
assigned to this program, with responsibilities clearly separate 
from those performed on an acute medical unit or other 
residential units. 

(e) Each child or adolescent admitted to a facility shall have 
a weekly consultation with a psychiatrist to review medications 
and to ensure that the psychiatrist is involved in the develop- 
ment of a transition plan to a less restrictive setting or to a more 
acute inpatient setting. 

(f) Clinical consultation shall be provided weekly by a 
qualified mental health professional. 

(g) Clinical consultation with staff from the responsible area 
program shall occur weekly in order to assist with the develop- 
ment of a treatment plan in a community -based setting. 

Statutory Authority G.S. 143B-147. 

.1503 OPERATIONS 

(a) Capacity. Each unit shall serve no more than a total of 
12 persons. If the facility has more than one residential unit. 
the capacity of each unit shall be limited to J2 children and 
adolescents. 

(b) Residential units. Each residential unit will be adminis- 
tered, staffed, and located to function separately from all other 
residential units in the facility. 

(c) Length Of Stay. The length of stay shall be no more than 
90 days from admission to discharge. Efforts for discharge to 
a less restrictive community residential setting shall be docu- 
mented from the date of admission. 

(d) Hours Of Operation. Each facility shall operate as a 24- 
hour facility at least 50 weeks per year. 

(ej Family Involvement. Family members or guardians shall 
be involved in the development and implementation of treatment 
plans in order to assure a smooth transition to a lesser restrictive 
residential setting. 

(f) Education. Children and adolescents residing in an 
intensive residential treatment facility must receive appropriate 
educational services, either through a facility-based school, 
"home-based" services, or through a day treatment program- 
Transition to a public school setting shall be part of the treat- 
ment plan. 

(g) Transition Planning. Representatives from agencies and 
institutions serving a child or adolescent shall meet at admission 
and 30 days prior to discharge in order to assure that a plan for 



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PROPOSED RULES 



transition to a lesser restrictive residential setting is in place- 
Family members and/or guardians of the child shall be present 
at these meetings. 

Statutory Authority G.S. 143B-147. 



.1504 PHYSICAL PLANT 

(a) The facility may be hospital based. The units must be 
self-contained and separate from acute medical units and other 
residential units in a clearly defined physical setting. 

(b) Beds may not be shared with an acute medical unit. 

Statutory Authority G.S. 143B-147. 

SECTION .1600 - SECTION .2000 - RESERVED 
FOR FUTURE CODIFICATION 

SECTION .2100 - SPECIALIZED COMMUNITY 

RESIDENTIAL CENTERS FOR EVDrVTDUALS 

WITH DEVELOPMENTAL DISABUSES 

.2101 SCOPE 

(a) A specialized community residential center is a 24-hour 
facility which provides care, treatment and developmental 
training for individuals who are developmental^ disabled or 
multi-handicapped over an extended period of time, through 
integration of medical services and close supervision. 

(b) The service is designed to assist each individual to attain 
his highest level of independent living skills while receiving care 
for his physical needs. 

(c) This facility may be certified for Medicaid as an Interme- 
diate Care Facility for the Mentally Retarded (1CF/MR). 



on duty for every ten clients. 

(f) Medical care shall be available on a 24-hour basis for 
each client. 

(g) Each staff member shall have a current medical statement 
on file with the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.2103 OPERATIONS 

(a) Capacity. Facilities beginning operation subsequent to the 
effective date of these rules shall be designed to serve no more 
than 30 clients at one location. 

(b) Personal Clothing. Each client shall have adequate 
changes of personal clothing at least daily. 

(c) Daily Training Activities: 

(1) Daily training activities shall be scheduled to meet 
the developmental needs of each client. 

(2) Activities shall take into consideration the length of 
time each client should be scheduled for needed rest 
periods, his need for individual attention, and 
special limitation of activities and diets. 
Both free play and organized recreational activities 
shall be provided as a ppropriate to individual needs. 
Field trips and community experiences shall be 
provided for individual clients. 
Daily routines common to non-handicapped clients 
shall be followed. 



(4J 

m 



ffi 



Daily outdoor activities shall be planned in accept- 
able weather when appropriate to the health and 
physical needs of the client. 
When adults are served, vocational services shall be 
provided unless there is medical contraindication. 



Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; 143B-147. 



.2102 STAFF 

(a) Each facility shall designate a director who has experience 
in developmental, disabilities and holds a baccalaureate degree 
with specialization in administration, education, social work, 
nursing, psychology or a related field or who has comparable 
experience and education. 

(b) At ieast one registered nurse or licensed practical nurse 
shall be on the grounds of the facility at al] times. 

(c) Each facility shall have at least one registered nurse on 
staff. 

(d) During waking hours, the following minimum client to 
staff ratios shall be in effect for each building: 

(1) a minimum of two direct care staff members shall 
be on duty at all times; and 

(2) a minimum of one direct care staff member shall be 
on duty for every five clients. 

(e) During sleeping hours, the following minimum client to 
staff ratios shall be in effect for each building: 

(1) one direct care staff member shall be awake and on 
duty at all times and one other staff member shall 
be on call in the building; and 

(2) a minimum of one direct care staff member shall be 



.2104 PHYSICAL PLANT 

No more than six infants or children and no more than four 
adolescents or adults may share an individual bedroom regard- 
less of bedroom size. 

Statutory Authority G.S. 122C-26; 143B-I47. 

SECTION .2200 - BEFORE/AFTER SCHOOL, 

SUMMER, AND SCHOOL YEAR 

DEVELOPMENTAL DAY SERVICES 

FOR CHILDREN WITH OR AT RISK 

FOR DEVELOPMENTAL DELAYS, 

DEVELOPMENTAL DISABILITIES, 

OR ATYPICAL DEVELOPMENT 

.2201 SCOPE 

(a) Before/after school developmental day services for school 
aged and preschool children with or at risk for developmental 
delays, developmental disabilities, or atypical development are 
facilities that provide individual habilitative programming and 
recreational activities. 

(1) Services are provided preceding and following the 



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509 



PROPOSED RULES 



ill 



school day during the months of local school 
operation and shall be designed to meet develop- 
mental needs of the children as well as the child 
care needs of families. 

Before/after school services may be provided as a 
component of a developmental day center, 
(b) Summer developmental day services for school aged and 
preschool children with or at risk for developmental delays, 
developmental disabilities, or atypical development are facilities 
that provide individual habilitative programming and recre- 
ational activities in a licensed child care center for school-age 
children during the summer penod, when they are not partici- 
pating in educational activities. This service is. 

(1) designed to promote continuing progress in acquir- 
ing developmental skills such as self-help, fine and 
gross motor, language and communication, cogni- 
tive and social skills in order to facilitate function- 
ing in a less restrictive environment; and 

(2) designed to meet child care needs of families. 

(cj School year developmental day services are day facilities 
that which provide individual habilitative programming for 
school aged children during the school day throughout the 
school year when the local schools are in operation. The 
children are served under a contractual agreement with the local 
school system, 
(d) The Rules in this Section are applicable when: 
(1) these services are provided as a separate free- 
standing component which is not in the same 
facility as a developmental day center for children 
licensed under G.S. 1 10, Article 2i and 
these services are offered for a total of four hours 



(2) 



per day or less. 



Statutory- Authority G.S. 122C-26; 143B-147. 

.2202 STAFF 

(a) Each staff member, except student trainees and supervised 
volunteers, shall be at least 18 years of age. 

(b) Each center shall have a designated program director 
who has experience in developmental disabilities, and holds a 
baccalaureate degree with specialization in administration, 
education, social work, nursing, psychology or a related field 
or have comparable experience and education. 

(c) A minimum of two staff members shall provide direct 
child care at all times. 

(d) A minimum of one direct care staff member shall be on 
duty for every five children. 

(e) Each staff member shall have a current medical statement 
on file with the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.2203 OPERATIONS 

(a) Each before/after school developmental day service shall 
be available for a minimum of three hours per day (exclusive of 
transportation time), five days per week, during the months of 
local school operation. 



(b) Each summer developmental day service shall be 
available for a minimum of eight hours per day (exclusive of 
transportation time), five days per week, during the weeks in 
which local school operation is closed for summer break. 

(c) Each school year developmental day service shall be 



available for a minimum of eight hours per day, five days per 
week during the months of local school operation. 

(d) The center shali provide or secure opportunities for the 
parent or the legally responsible person to attend individual or 
group activities. 

(e) Grouping shall allow for attending to the individual needs 
of each child and reflect developmentally appropriate practices. 

Statutory Authority G.S. 122C-26; 143B-147. 

.2204 PHYSICAL PLANT 

(a) Classroom And Activity Space: 

(1) A ratio of 50 square feet per child shall be available 
for indoor classroom and activity space, exclusive 
of space occupied by sinks, lockers, storage cabi- 
nets, and other fixed equipment. 

(2) Space shall be available for small groups and 
individualized training. 

(3) Special interest areas shall be provided to enhance 
the development of individual children. 

(4) Space for indoor physical activities shall be avail- 
able for the provision of those activities enhancing 
gross motor development. 

(5) Centers with at least 40% of their enrollment being 
children without disabilities and having an inclusion 
plan approved by DMH/DD/SAS for area-operated 
programs and by the area program director for 
contract agency centers may have a total of 35 
square feet available per child for indoor classroom 
and activity space. 

fb) Outdoor Activity Space: 

(1) Outdoor activity space shall be available in the ratio 
of 200 square feet per child scheduled to use the 
area at any one time. 

(2) Centers with at least 40% of their enrollment being 
children without disabilities and having an inclusion 
plan approved by DMH/DD/SAS for area-operated 
programs and by the area program director for 
contract agency centers may have a total of 100 
square feet available per child. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .2300 - ADULT DEVELOPMENTAL 

ACTrvTTY PROGRAMS FOR INDIVIDUALS 

WITH DEVELOPMENTAL DISABILITIES 

.2301 SCOPE 

(a) An Adult Developmental Activity Program (ADAP) is a 
day/ night facility which provides organized developmental 
activities for adults with developmental disabilities to prepare 
the individual to live and work as independently as possible. 



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PROPOSED RULES 



The activities and services of an ADAP are designed to adhere 
to the principles of normalization and community integration 
aimed at increasing age-appropriate actions, images and 
appearance of the individual. 

(b) An ADAP offers a diverse variety of specific services 
and activities. These include vocational evaluation, vocational 
training, remunerative employment, personal and community 
living skill development, adult basic education and long-term 
support and follow-up . Support services to clients' families 
and consultation with the clients' employers and other involved 
agencies may also be provided. The amount of time devoted to 
these areas vanes considerably depending on the needs of the 
clients served. 

(c) The Rules contained in this Section are applicable to 
facility-based ADAP services. 

(d) The majority of the ADAP activities in this model, 
whether vocational or developmental in nature, are earned out 
on the premises of a site specifically designed for this purpose. 

(e) It is the ADAP that shall be subject to licensure, not the 
location of the business or organization where the client may be 
placed for work. 

Statutory Authority- G.S. 122C-26; 143B-147. 

.2302 DEFINITIONS 

In addition to the terms defined in Rule .0103 of tfus Sub- 
chapter and G.S. 122C-3, the following terms shall also apply: 
(1) "A pproved supported employment conversion plan" 

means a planned approach to changing the type of 
services delivered from ADAP facility-based to 
su pported employment. Approval of the conversion 
plan is the responsibility of the Chief of the appropri- 
ate disability section of DMH/DD/SAS or his 
designee and the Area Director or his designee if the 
facility is operated by a contract agency of the area 
program or other service provider. DMH/DD/SAS 
shall request a ppropriate personnel from the Division 
of Vocational Rehabilitation to participate in the plan 
review process. The request for approval of the 
su pported employment conversion plan shall include 
specific wntten information in the following areas: 

number of clients to be moved into supported 

employment; 

types of supported employment models to be used; 

time frame for the conversion period; 

interim proposed facility staffing patterns and 

responsibilities; and 

proposed budget for the conversion plan. 
"Supported employment" means a day/night s ervice 
which involves paid work in a job which would 
otherwise be done by a non-disabled worker. Sup- 
ported employment is carried out in an integrated 
work site where an individual or a small number of 
people with disabilities work together and where the 
work site is not immediately adjacent to another 
program serving persons with disabilities. It includes 
involvement of staff working with the individuals in 



[a] 

(cj 
(dj 

(e) 
(2} 



these integrated settings. 
Statutory Authority G.S. 122C-26; 143B-147. 

.2303 STAFF 

(a) Each ADAP shall have a designated full-time program 
director. 

(b) The Program Director shall be at least a high school 
graduate or equivalent with three years of experience in 
developmental disabilities programming. 

(c) Each facility shall have evaluation services available for 
all clients. 

(d) Each facility shall maintain an overall direct service ratio 
of at least one full-time or full-time equivalent direct service 
staff member for every ten or fewer clients. For facilities 
having an approved supported employment conversion plan as 
defined in Rule .2302 of this Section, this standard will not 
apply for a maximum of ten clients or 20 percent of a facility's 
average daily enrollment, whichever is greater. 

(e) Each facility shall have an Admissions Committee. 
(D If ihs site is maintained by the ADAP: 

(1) A safety committee comprised of staff members 
and clients shall be appointed to review accident 
reports and to monitor the ADAP for safety; and 

(2) Minutes shall be kept of all meetings. 

Statutory Authority G.S. 122C-26; 143B-147. 

.2304 OPERATIONS 

[a] Safety Educational Program. Each ADAP shall provide 
an ongoing educational program for staff and clients designed 
to teach them the principles of accident prevention and control 
of specific hazards. The program shall include training for 
clients in personal, work and environmental safety. 

(b) Business Practices: 

(0 If the ADAP seeks or receives remuneration for 
goods or services provided to another individual, 
organization or business: 

(A) Supplies, materials or tools, if provided by the 
ADAP, shall be identified as a separate amount in 
the bid price; 

(B) Wages paid to ADAP clients shall be on a piece 
rate or hourly commensurate wage; 

(C) Each client involved in productive work shall 
receive a written statement for each pay period 
which indicates gross pay, hours worked and 
deductions; and 

(D) Prices for goods produced in the ADAP shall be 
equal to or exceed the cost of production (includ- 
ing commensurate wages, overhead, tools and 
materials). 

(2) If the client is an employee of another individual, 
organization or business, the ADAP shall review 
client earnings information on at least an annual 
basis to ensure appropriateness of pay rates and 
amounts. 

(3) Clients shall be informed of their rights and respon- 



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511 



PROPOSED RULES 



abilities in such matters as wages, hours, working 
conditions, social security, redress for injury and 
the consequences of their own tortious or unethical 
conduct, 

(c) Handbook. Each ADAP shall have a client handbook 
including, but not limited to, information about services and 
activities. 

(1) The client handbook shall be written in a manner 
comprehensible to clients and reflective of adult 
status. 

(2) Each client shall be given a handbook, and the 
handbook shall be reviewed with the client. 

(d) Hours Of Operation. ADAP services shall be available 
for client attendance at ieast six hours per day (exclusive of 
transportation time), five days per week, unless closed in 
accordance with procedures outlined in the AREA PROGRAM 
BUDGETING AND PROCEDURES MANUAL, APSM 75-1. 



The same criteria and procedures shall be followed in each 
instance of rea pplication as are required for the initial extension. 
(b) Admissions. Each ADAP shall have written admission 
policies and procedures. 

(1) A pre-admission staffing shall be held for each 
client considered for admission to the ADAP. 
During the staffing, the Admissions Committee 
shall consider information available regarding the 
client's medical, psychological, social, and voca- 
tional histories. 

(2) Results of the pre-admission staffing shall be 
documented and forwarded to the referral or 
sponsoring agency. A representative of the ADAP 
admissions committee shall notify the client. 

(3) A qualified developmental disabilities professional 
of the area program shall certify the eligibility of 
each client for the ADAP service. 



Statutory Authority G.S. 122C-26; 143B-147. 

.2305 PHYSICAL PLANT 

If the site is maintained by the ADAP: 

(1) Each site shall be inspected annually by an outside 
safety consultant with written documentation and 
follow-up on recommendations; and 

(2) Each site shall be designed and equipped to promote 
the training, employment and adult status of clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

,2306 CLIENT ELIGIBILITY AND ADMISSIONS 

(a) Eligibility. Clients served shall be eligible for ADAP 
regardless of financial resources with the exception of a client 
whose work earnings exceed 60% of the federal statutory 
minimum wage over a consecutive 90-day period. With prior 
approval of the appropriate area program director or designee, 
clients who are participating in a supported employment 
program authorized by DMH/DD/SAS may have earnings in 
excess of 60% the prevailing wage. Eligibility for clients in 
non-supported employment settings whose earnings have 
exceeded over 60% the prevailing wage for over 90 consecutive 
days may be extended for urj to one calendar year if supported 
employment options are not available locally and the client is 
ineligible for other services from the Division of Vocational 
Rehabilitation, or if the client's social, behavioral or vocational 
skill deficits preclude participation in supported employment 
optioas and results in ineligibility for other vocational rehabilita- 
tion services. The eligibility extension shall occur through the 
existing client recertification process carried out by the desig- 
nated area program qualified developmental disabilities profes- 
sional. Requests for the extension shall be based on a joint case 
review involving a representative of the involved ADAP, the 
local VR unit and the area program. The request shall identify 
the specific skill deficits precluding eligibility for supported 
employment or other vocational rehabilitation services and 
include plans for addressing these deficits. The certification 
extension may be reapplied for a maximum of two times only. 



Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .2400 - DEVELOPMENTAL DAY 

SERVICES FOR PRESCHOOL CHILDREN WITH 

OR AT RISK FOR DEVELOPMENTAL DELAYS, 

DEVELOPMENTAL DISABILITIES OR 

ATYPICAL DEVELOPMENT 

.2401 SCOPE 

A developmental day service is a day/night service which 
provides individual habilitative programming for children with, 
or at risk for developmental delay, developmental disabilities or 
atypical development in specialized licensed child care centers. 
The service: 

(1) is designed to meet developmental needs of the 
children such as self-help, physical, language and 
speech, and cognitive and psychosocial skills in order 
to facilitate their functioning in a less restrictive 
environment, as well as to meet child care needs of 
families; and 

(2) offers family training and support. 

Statutory Authority G.S. 143B-147. 

.2402 STAFF 

(a) Each developmental day center shall have a designated 
director who holds a bachelor level degree with specialization 
in administration, education, social work, nursing, psychology 
or a related field or have comparable experience and education. 

(b) Each staff member except student trainees and supervised 
volunteers shall be at least 18 years of age. 

(c) Staff shall provide continuous supervision of each child. 

(d) A minimum of two staff members shall provide direct 
child care at all times. 

(e) A minimum of one direct child care staff member shall 
be on duty for every five children. 

[fj If school aged children are served under contract with the 
Department of Public Instruction, a preschool handicapped, B- 
K, or special education certified teacher shall be employed for 



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PROPOSED RULES 



each 20 children or less. The type of certification shall be 
based on the ages of the children served. When infants and 
toddJers are served, a professional privileged in accordance with 
the requirements of Part H of Individuals with Disabilities 
Education Act shall be employed for each 20 children or less. 
This material is adopted by reference and includes subsequent 
editions and amendments. 

(g) If infants are served, a minimum of one direct care staff 
member shall be on duty for every three infants. 

(h) Centers with at least 40% of their enrollment being 
children without disabilities, and having an inclusion plan 
a pproved by DMH/DD/SAS for area-operated programs and by 
the area program director for contract agency centers, may 
utilize the following staff/child ratio: 
QJ Infants - 1:4; 
(2) Toddlers and oider children ; 1:6. 

[i] The disciplines of social work, physical therapy, occupa- 
tional therapy and speech and language therapy shall be 
available through center employees, consultants, or agreements 
with other providers. 

(jj Each staff member shall have a current medical statement 
on file with the facility. 

Statutory Authority G.S. 143B-147 



(3) Special interest areas shall be provided to enhance 
the development of individual children. 

(4) Space for indoor physical activities shall be avail- 
able for the provision of those activities enhancing 
gross motor development. 

(5) Centers with at least 40% of their enrollment being 
children without disabilities and having an inclusion 
plan approved by DMH/DD/SAS for area-operated 
programs and by the area program director for 
contract agency centers may have a total of 35 
square feet available per child for indoor classroom 
and activity space. 

fb) Outdoor Activity Space: 

(1) Outdoor activity space shall be available in the ratio 
of 200 square feet per child scheduled to use the 
area at any one time. 

(2) Centers with at least 40% of their enrollment being 
children without disabilities and having an inclusion 
plan approved by DMH/DD/SAS for area-operated 
programs and by the area program director for 
contract agency centers may have a total of 100 
square feet available per child. 

(c) Environmental Rating. Each center shall complete an 
environmental rating scale. 



.2403 OPERATIONS 

(a) Hours. Developmental day services for preschool 
children shall be available for a minimum of eight hours per 
day (exclusive of transportation time), five days per week, 
twelve months a year. 

(b) Daily Training Activities. Activities shall be planned 
around the following principles: 

(1) Group and individual activities, related to individual 
goal plans, shall be scheduled daily. 

(2) Both free play and organized recreational activities 
shall be provided. No more than one-third of the 
daily schedule shall be designated for both of these 
activities combined. 

(c) Grouping of children. Grouping shall allow for attending 
to the individual needs of each child and reflect developmentally 
appropriate practices. 

(d) Family Services: 

(1) Parents shall be provided the o pportunity to observe 
their child in the program. 

(2) The center shall provide or secure opportunities for 
parents to attend parent training seminars. 

Statutory Authority G.S. 122C-51; I43B-147. 

.2404 PHYSICAL PLANT 

(a) Classroom And Activity Space: 

(1) A ratio of 50 square feet per child shall be available 
for indoor classroom and activity space, exclusive 
of space occupied by sinks, lockers, storage cabi- 
nets, and other fixed equipment. 

(2) Space shall be available for small groups and 
individualized training. 



Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .2500 - EARLY CHILDHOOD 

INTERVENTION SERVICES (ECIS) FOR CHILDREN 

WITH OR AT RISK FOR DEVELOPMENTAL 

DELAY, DISABILmES, OR ATYPICAL 

DEVELOPMENT AND THEIR FAMILIES 

.2501 SCOPE 

(a) An early childhood intervention service (ECIS) is a 
periodic service designed to promote the developmental growth 
of children with or at risk for developmental delay . disabilities 
or atypical development, and their families. In addition, it 
provides families with support and information on child-rearing 
skills and management, and services and resources available to 
the child and family. The service provides, on a regularly 
scheduled basis, comprehensive assessment and prescriptive 
developmental programming in such areas as cognitive, 
language and communication, physical, self-help, and psychoso- 
cial skill development in the client's home which may be 
supplemented by individual or group services at other sites. 
This service provides case-specific and general follow-up and 
consultation to other preschool programs. Case management is 
also a component of this service. 

(b) The primary methodology of service delivery is periodic 
(usually weekly) home visits which may be supplemented by 
group or individual activities at sites other than the child's 
home. 

(c) This Section applies to those early intervention services 
that are available through the area program s and contract 
agencies. 



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513 



PROPOSED RULES 



Statutory Authority G.S. 143B-147; 20 USC 1471. 

.2502 DEFINITIONS 

(a) As used in this Section, the following terms shall have the 
meanings specified in Section 303.401 of Subpart E of Pan 303 
of Title 34 of the Code of Federal Regulations: 

j 1 ) "Consent", 

(2) "Native language"; 

(3) 'Personally identifiable". 

(b) As used in this Section, the term "Early Intervention 
Services" shall have the meaning specified in Section 303.12 of 
Subpart A of Part 303 of Title 34 of the Code of Federal 
Regulations. 

(c) As used in this Section, an eligible child is an infant or 
toddler who meets the definition of "high risk children." 
"developmentally delayed children." or children with "atypical 
development" as defined in 10 NCAC 14V 0802. or "develop- 
mentally disabled" children as defined in G.S. 122C-3. 

Authority G.S. 143B-147: 20 U.S.C. Sections 1401 et. seq. . 
1471 et.seq. 

.2503 STAFF REQUIREMENTS 

(a) Each ECIS shall have a designated program director who 
holds at least a baccalaureate degree in a field related to 
developmental disabilities, or is registered to practice as a 
registered nurse in the State of North Carolina, and who has at 
least one year's expenence in services for infants or toddlers 
with or at risk for developmental delays or atypical develop- 
ment. This includes, but is not limited to early childhood 
education, child development, or special education. 

(b) At least one member of the ECIS staff shall be an 
individual who holds a degree in education or early childhood 
development. 

(c) Staff shall be privileged in accordance with the require- 
ments of Part H of the Individuals with Disabilities Education 
Act. 

Statutory Authority G.S. 122C-51; 143B-147: 20 USC 1471. 

.2504 INTERDISCIPLINARY ECIS STAFF 

(a) At least one member of the ECIS staff shall be an 
individual who holds a degree in education or early childhood 
development. 

(b) The disciplines of social work, physical therapy, occupa- 
tional therapy and speech therapy shall be represented on the 
staff in response to the documented needs of the children and 
families served. These disciplines may be represented by_ staff 
members, consultant staff, or through agreements with staff of 
other agencies. 

(c) Assessments shall be conducted in accordance with JO 
NCAC 14V .0314. 



Statutory Authority G.S. 143B-147; 20 USC 1471. 

.2505 FOLLOW-ALONG 

Follow -along, a continuing relationship with the client for the 



purpose of assuring that the client's changing needs are recog- 
nized and apppropriatelv met, shall be provided semi-annually 
for one year on behalf of children who have been discharged 
from the ECIS. 

Statutory Authority G.S. 122C-51: 143B-147: 20 USC 1471. 

SECTIONS .2600 - .3000 - RESERVED FOR 
FUTURE CODD7ICATION 

SECTION .3100 - NONHOSPITAL MEDICAL 

DETOXTFICATION FOR CVDrVTDUALS WHO 

ARE SUBSTANCE ABUSERS 

3101 SCOPE 

(a) Nonhospital medical detoxification is a 24-hour residential 
facility which provides medical treatment and supportive 
services under the supervision of a physician. 

(b) This facility is designed to withdraw an individual from 
alcohol or other drugs and to prepare him to enter a more 
extensive treatment and rehabilitation program. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3102 STAFF 

(a) A minimum of one direct care staff member shall be on 
duty at all times for every nine or fewer clients. 

(b) The treatment of each client shall be under the supervi- 
sion of a physician. 

(c) The services of a certified alcoholism counselor, a 
certified drug abuse counselor or a certified substance abuse 
counselor shall be available to each client. 

(d) Each facility shall have at least one staff member on duty 
at all times trained in the following areas: 

(1) substance abuse withdrawal symptoms, including 
delirium tremens; and 

(2) symptoms of secondary complications to substance 
abuse. 

(e) Each direct care staff member shall receive continuing 
education to include understanding of the nature of addiction. 
the withdrawal syndrome, group therapy, family therapy and 
other treatment methodologies. 

Statutory Authority G.S. 122C-26: 143B-147. 

.3103 OPERATIONS 

(a) Monitoring Clients. Each facility shall have a written 
policy that requires: 

( 1 ) procedures for monitoring each client's general 
condition and vital signs during at least the first 72 
hours of the detoxification process; and 

(2) procedures for monitoring and recording each 
client's pulse rate, blood pressure and temperature 
at least every four hours for the first 24 hours and 
at least three times daily thereafter. 

(b) Discharge Planning And Referral To Treat- 
ment ■'Rehabilitation Facility. The facility shall complete a 



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PROPOSED RULES 



discharge plan for each client and refer each client who has 
completed detoxification to an outpatient or residential treat- 
ment/rehabilitation facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .3200 - SOCIAL SETTING 
DETOXIFICATION FOR SUBSTANCE ABUSE 

.3201 SCOPE 

(a) Social setting detoxification is a 24-hour residential facility 
which provides social support and other non-medical services to 
individuals who are experiencing physical withdrawal from 
alcohol and other drugs. 

(b) Individuals receiving this service need a structured 
residential setting but are not in need of immediate medical 
services; however, back-up physician services shall be avail- 
able, if indicated. 

(c) The facility is designed to assist individuals in the 
withdrawal process and to prepare them to enter a more 
extensive treatment and rehabilitation program. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3202 STAFF 

(a) A minimum of one direct care staff member shall be on 
duty at all times for every nine or fewer clients. 

(b) The services of a certified alcoholism counselor or a 
certified substance abuse counselor shall be available on an 
as-needed basis to each client. 



(c) Each facility shall have at least one staff member on duty 
trained in the following areas: 



m 



monitoring vital signs; 

alcohol withdrawal symptoms, including delirium 

tremens. 



symptoms of secondary complications to alcohol- 
ism, 
(d) Each direct care staff member shall receive continuing 
education to include understanding of the nature of addiction, 
the withdrawal syndrome, group therapy, family therapy and 
other treatment methodologies. 

Statutory Authority G.S. I22C-26; J43B-147. 



<±1 



Discharge Planning 



Referral To Treat- 



completed detoxification to an outpatient or residential treatment 
or rehabilitation facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .3300 - OUTPATIENT DETOXIFICATION 
FOR SUBSTANCE ABUSE 

.3301 SCOPE 

An outpatient detoxification facility is a periodic service which 
provides services involving the provision of supportive services, 
particularly active support systems under the supervision of a 
physician for clients who are experiencing physical withdrawal 
from alcohol and other drugs. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3302 STAFF 

(a) The treatment of each client shall be under the supervision 
of a physician. 

(b) The services of a certified alcoholism counselor, a 
certified drug abuse counselor or a certified substance abuse 
counselor shall be available to each client. 

(c) Each facility shall have at least one staff member on duty 
trained in the following areas: 

(1) monitoring vital signs; 

(2) alcohol withdrawal symptoms, including delirium 
tremens; 

(3) symptoms of secondary complications to alcohol- 
ism. 

(d) Each direct care staff member shall receive continuing 
education to include understanding of the nature of addiction, 
the withdrawal syndrome, group therapy , family therapy and 
other treatment methodologies. 

Statutory Authority G.S. 122C-26; 143B-147. 

3303 OPERATIONS 

(a) Hours. Each outpatient detoxification facility shall 
operate at least eight hours per day, for a minimum of five days 
per week. 

(b) Discharge Planning And Referral To Treat- 
ment/Rehabilitation Facility. The facility shall complete a 
discharge plan for each client and refer each client who has 



.3203 OPERATIONS 

(a) Monitoring Clients. Each facility shall have a written or 
policy that requires: 

(1) procedures for monitoring each client's general 
condition and vital signs during at least the first 72 
hours of the detoxification process; and 

(2) procedures for monitoring and recording each 
client's pulse rate, blood pressure and temperature 
at least four times daily for the first 72 hours after 
admission. 

And 



completed detoxification to an outpatient or residential treatment 
or rehabilitation facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .3400 - RESIDENTIAL TREATMENT/ 

REHABILITATION FOR rNDIVIDUALS WrTH 

SUBSTANCE ABUSE DISORDERS 



ment /Rehabilitation Facility. The facility shall complete a 
discharge plan for each client and refer each client who has 



.3401 SCOPE 

(a) A residential treatment or rehabilitation facility for alcohol 
or other drug abuse disorders is a 24-hour residential service 
which provides active treatment and a structured living environ- 



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515 



PROPOSED RULES 



ment for individuals with substance abuse disorders in a group 
setting. 

(b) Individuals must have been detoxified prior to entering 
the facility. 

[cj Services include individual, group and family counseling 
and education. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3402 STAFF 

(a) Staff are required as follows: 

(1) One full-time certified alcoholism, drug abuse or 
substance abuse counselor for a facility having up_ 
to 30 beds and for even 30 bed increment or 
portion thereafter. 

(2) One full-time qualified alcoholism, drug abuse or 
substance abuse professional or one full-time 
certified alcoholism, drug abuse or substance abuse 
counselor for facilities having 1 1 or more beds and 
for every ten bed increment or portion thereafter. 

(b) A minimum of one staff member shall be present in the 
facility when clients are present in the facility. 

(c) In facilities that serve minors, a minimum of one staff 
member for each five or fewer minor clients shall be on duty 
during waking hours when minor clients are present. 

(d) Any qualified alcoholism, drug abuse or substance abuse 
professional who is not certified shall become certified by the 
North Carolina Substance Abuse Professional Certification 
Board within 26 months from the date of employment, or from 
the date an unqualified person meets the requirements to be 
qualified, whichever is later. 

(e) Each direct care staff member shall receive continuing 
education to include understanding of the nature of addiction, 
the withdrawal syndrome, group therapy . and famih therap\ . 

(f) Each direct care staff member in a facility that serves 
minors shall receive specialized training in vouth development 
and therapeutic techniques in working with youth. 

(g) Each facility shall have at least one staff member on duty 
trained in the following areas. 

( 1 ) alcohol and other drug withdrawal symptoms: and 

(2) symptoms of secondary complications to alcoholism 
and drug addiction. 

Statutory Authority G.S. 122C-26: 143B-147. 



(b) The facility shall have a written schedule for daily routine 
activities. 

{c} The facility shall establish a schedule for the provision of 
treatment and rehabilitation services, 

(d) The facility shall complete a discharge plan for each client 
and refer each client who has completed residential treatment to 
an outpatient or residential rehabilitation facility. 

Statutory Authority G.S. 122C-26: 143B-147. 

SECTION .3500 - OUTPATIENT FACILrTIES 

FOR ESTJIMDUALS WITH SUBSTANCE 

ABUSE DISORDERS 

3501 SCOPE 

Outpatient facilities provide periodic service for individuals 
with substance abuse disorders. Outpatient services include 
individual, group, family . and educational counseling. 

Statutory Authority G.S. 122C-26: 143B-147. 

.3502 STAFF 

(a) The services of a certified alcoholism counselor, a 
certified drug abuse counselor or a certified substance abuse 
counselor shall be available to each client. 



(b) Each facility shall have at least one staff member on duty 
trained in the fol lowing areas: 

( 1 ) alcohol and other drug withdrawal symptoms: and 

(2) symptoms of secondary complications to alcoholism 
and drug addiction. 

tc) Each direct care staff member shall receive continuing 
education to include understanding of the nature of addiction, 
the withdrawal syndrome, group therapy . family therapy and 
other treatment methodologies. 

(d) Each direct care staff member in an outpatient facility that 
serves minors shall receive specialized training in youth 
development and therapeutic techniques in working with vouth. 

Statutory Authority G.S. 122C-26; 143B-147. 



.3503 OPERATIONS 

Group size shall be limited to a maximum of 20 participants. 

Statutory Authority G.S. 122C-26: 143B-147. 



.3403 OPERATIONS 

(a) Each facility shall provide or have access to the following 
services: 

individual, group or family therapy for each client: 
educational counseling: 
vocational counseling: 



m 

Lij 

Li 

15] 

m 

m 



job development and placement: 
money management: 
nutrition education: and 

referrals to supportive services including Alcoholics 
.Anonymous. Narcotics .Anonymous, legal counsel- 
ing, vocational training and placement. 



SECTION .3600 - OUTPATIENT NARCOTIC 
ADDICTION TREATMENT 

.3601 SCOPE 

(a) An outpatient narcotic addiction treatment facility 
provides periodic services designed to offer the individual an 
opportunity to effect constructive changes in his lifestyle by 
using methadone or other medications approved for use in 
narcotic addiction treatment in conjunction with the provision of 
rehabilitation and medical serv ices. 

(b) Methadone and other medication s approved for use in 
narcotic addiction treatment are also tools in the detoxification 



516 



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10:7 



PROPOSED RULES 



and rehabilitation process of a narcotic dependent individual. 

(c) For the purpose of detoxification, methadone and other 
medications approved for use in narcotic addiction treatment are 
administered in decreasing doses for a period not to exceed 180 
days. 

(d) For individuals with a history of being physiologically 
addicted to a narcotic for at least one year before admission to 
the service, methadone and other medications approved for use 
in narcotic addiction treatment may also be used in maintenance 
treatment. In these cases, methadone and other medications 
approved for use in narcotic addiction treatment may be 
administered or dispensed in excess of 180 days and should be 
administered in stable and clinically established dosage levels. 



(1) nature of addiction; 

(2) the withdrawal syndrome; 

(3) group and family therapy; and 

(4) infectious diseases including HIV, sexually trans- 
mitted diseases and TB. 

(d) Each facility shall have staff to provide or secure the 
following services: 

(1) individual, group or family therapy for each client; 
educational counseling; 



QJ 
(4) 
(5) 
[6] 



Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. Part 2 
§ 291.505: 21 C.F.R. Part 1300. 



vocational counseling; 
job development and placement, 
money management; 
nutrition education; and 

referrals to su pportive services including Alcoholics 
Anonymous, Narcotics Anonymous, legal counsel- 
ing, vocational training and placement. 



3602 DEFINITIONS 

In addition to terms defined in G.S. 122C-3 and Rule .0103 
of this Subchapter, the following definitions shall also apply. 

(1) "Methadone" hydrochloride is a synthetic narcotic 
analgesic with multiple actions quantitatively similar 
to those of morphine, most prominent of which 
involves the central nervous system and organs 
composed of smooth muscle. The principal actions 
of therapeutic valve or analgesia and sedation are 
detoxification or temporary maintenance in narcotic 
addiction. The methadone abstinence syndrome, 
although quantitatively similar to that of morphine 
differs in that the onset is slower, the course more 
prolonged, and the s\ mptoms are less severe. 

(2) "Other medications approved for use in narcotic 
addiction treatment" means those medications ap- 
proved by the Food and Drug Administration for use 
in narcotic addiction treatment and also approved for 
accepted medical uses under the North Carolina 
Controlled Substances Act. 

Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. Part 2 
§ 291.505; 21 C.F.R. Part 1300. 

,3603 STAFF 

(a) A minimum of one certified drug abuse counselor or 
certified substance abuse counselor to each 50 clients shall be on 
the staff of the facility. If the facility falls below this prescribed 
ratio, and cannot meet the prescribed ratio by employing a 
counselor who is certified, then it may employ an uncertified 
counselor as long as this individual meets the certification 
requirements within a maximum of 26 months from the date of 
employment. 

(b) Each facility shall have at least one staff member on duty 
trained in the following areas: 



(2) 



drug abuse withdrawal symptoms; and 
symptoms of secondary complications to drug 
addiction, 
(c) Each direct care staff member shall receive continuing 
education to include understanding of the following: 



Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. Part 2 
§ 291.505; 21 C.F.R. Part 1300. 

.3604 OPERATIONS 

(a) Hours. Each facility shall operate seven days per week, 
12 months per year. Daily, weekend and holiday medication 
dispensing hours shall be scheduled to meet the needs of the 
client. 

(b) Compliance With FDA/NIDA Regulations. Each facility 
shall be approved by the Food and Drug Administration of the 
United State Department of Health and Human Services and 
shall be in compliance with all Food and Drug Administra- 
tion/National Institute on Drug Abuse Narcotic Addiction 
Treatment regulations in 2_[ C.F.R. Part 2 $ 29 1 . 505 . These 
regulations are available from the Food and Drug Administra- 
tion, 5600 Fishers Lane, Rockville, Maryland 20857 at no 
cost. The material adopted by reference in this Rule includes 
subsequent amendments and editions of the referenced material. 

(c) Compliance With PEA Regulations. Each facility shall 
be currently registered with the Federal Drug Enforcement 
Administration and shall be in compliance with all Drug 
Enforcement Administration regulations pertaining to narcotic 
addiction treatment programs codified in 2\_ C.F.R., Food and 
Drugs, Part 1300 to end. These regulations are available from 
the United States Government Printing Office, Washington, 
D.C. 20402 at a cost of four dollars and fifty cents ($4.50) per 
copy. The material adopted by reference in this Rule is adopted 
in accordance with the provisions of G.S. 150B-14(c). 

(d) Compliance With State Authority Regulations. Each 
facility shall be approved by the State Authority for Narcotic 
Addiction Treatment, DMH/DD/SAS, 325 N. Salisbury Street, 
Raleigh, N.C. 2760, which is the "state authority" as defined 
in the Food and Drug Administration/National Institute on Drug 
Abuse Narcotic Addiction Treatment Regulations in 2\_ C.F.R. 
Part 2j 291.505, and is the agency designated by the Governor 
or other appropriate official to exercise the responsibility and 
authority within the state or territory for governing the treatment 
of narcotic addiction with a narcotic drug. The referenced 
material includes subsequent editions and amendments, and may 
be obtained from the Food and Drug Administration, Division 



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July 3, 1995 



517 



PROPOSED RULES 



of Scientific Investigations, Regulatory Management Branch, 
7520 Standish Place, Room 1 15, Rockville, Maryland 20855 at 
no cost, 

(e) Take-Home Supplies For Holidays. Take-home dosages 
of methadone for holidays shall be authorized by the facility 
physician on an individual client basis according to the follow- 
ing. 

(1) An additional one-day supply of methadone may be 
dispensed to each eligible client (regardless of time 
in treatment) for Independence Day, Thanksgiving, 
Christmas, New Year's and other official state 
holidays. 

(2) No more than a three -day supply of methadone 
may be dispensed to any eligible client because of 
holidays. This restriction shall not apply to a client 
who is receiving a six-day take-home supply of 
methadone. 

(f) Withdrawal From Medications For Use In Narcotic 
Addiction Treatment. The risks and benefits of withdrawal 
from methadone or other medications approved for use in 
narcotic addiction treatment shall be discussed with each client 
at the initiation of treatment and annually thereafter. 

(g) Client Discharge Restrictions. No client shall be dis- 
charged from the facility while physically dependent upon 
methadone or other medications approved for use m narcotic 
addiction treatment unless the client is provided the opportunity 
to detoxify from the drug. 



the date of employment. 

(c) In facilities which provide services to minors, a minimum 
of two staff members shall be present with minor clients at all 
times, and a minimum ratio of one staff member to each eight 
or fewer clients shall be maintained. In the event that only one 
minor client is in the facility, only one staff member is required 
to be present. 

(d) Each facility shall have at least one staff member on duty 
trained m the following areas: 



l2> 



alcohol and other drug withdrawal symptoms; and 

symptoms of secondary complications due to 

alcoholism and drug addiction. 

(e) Each direct care staff member shall receive continuing 

education to include understanding of the nature of addiction, 

the withdrawal syndrome, group therapy, family therapy and 

other treatment methodologies. 

(fj Each direct care staff member in a day treatment facility 
that serves minors shall receive specialized training in youth 
development and therapeutic techniques in working with youth. 

Statutory Authority G.S. 122C-26; 143B-147. 

,3703 OPERATIONS 

(a) Each day treatment facility shall operate at least three 
days per week, but not fewer than 12 hours per week. 

(b) A client shall be provided a structured program of 
treatment for a minimum of five hours per week. 



Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. Part 2 
§ 291.505. 

SECTION .3700 - DAY TREATMENT FACILITIES 

FOR INDrvTDUALS WTTH SUBSTANCE 

ABUSE DISORDERS 

3701 SCOPE 

(a) Day treatment facilities provide services in a group setting 
for individuals who need more structured treatment for sub- 
stance abuse than that provided by outpatient treatment, and 
may serve as an alternative to a 24-hour treatment program. 

(b) Day treatment services shall have structured programs, 
which may include individual, group, and family counseling, 
recreational therapy, peer groups, substance abuse education, 
life skills education, and continuing care planning. 



Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .3800 - ALCOHOL AND DRUG 
EDUCATION TRAFFIC SCHOOLS (ADETS) 

.3801 SCOPE 

(a) An alcohol and drug education traffic school (ADETS) is 
a prevention and intervention service which provides an 
educational program primarily for first offenders convicted of 
driving while impaired as provided in G.S. 20-179(m). 

(b) Provisions shall be made for family members and other 
non-students to attend classes if the instructor determines that 
their presence will not disrupt the class or result in class size 
exceeding the maximum. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 



Statutory Authority G.S. 122C-26; 143B-147. 

.3702 STAFF 

(a) The staff of the day_ treatment facility shall include a 
minimum of one full-time or equivalent certified alcoholism, 
drug abuse or substance abuse counselor for every 16 or fewer 
clients. 

(V) If the facility falls below the prescribed ratio in Paragraph 
(a) of this Rule, and cannot meet the prescribed ratio by 
employing a counselor who is certified, then it may employ an 
uncertified counselor as long as this individual meets the (4) 

certification requirements within a maximum of 26 months from 



.3802 STAFF 

(a) Certification. Each class shall have a designated instruc- 
tor who is certified b_y_ DMH/DD/SAS. An individual seeking 
initial certification as an instructor shall : 

m 



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0} 



be a high school graduate or its equivalent; 

have a working knowledge of alcohol, other drugs. 

and traffic safety issues; 

complete and submit the original and one copy of 

the application to the DWI/Cnminai Justice Branch 

of DMH/DD/SAS; 

complete an initial in-service training program 

provided by DMH/DD/SAS; and 



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PROPOSED RULES 



ei 



(5) demonstrate skills by teaching all classes. 

(b) Notice. DMH/DD/SAS shall notify the applicant of the 
decision regarding initial certification within 60 days after 
receipt of the application. 

(c) Duration. The duration of full certification shall be for 
a maximum period of two years. 

(d) Provisional certification. An applicant who does no; 
obtain initial certification may be issued a provisional certifica- 
tion, and shall be. 

j 1) informed as to the specific reasons why full certifi- 

cation was denied; 

p rovided with eligibility requirements necessary to 
reapply for full certification; and 
informed regarding the right to appeal the certifica- 
tion decision. 

(e) Recertification; 

(1) Individuals seeking recertification shall submit 
documentation of having received a minimum of 48 
hour s of training in alcohol and drug education 
traffic subjects during the previous two years. This 
training shall be provided by or subject to approval 
by DMH/DD/SAS. Documentation of having 
received this training shall be submitted to the 
DWI/Cnminal Justice Branch at least 30 days prior 
to expiration of the current certification. 

(2) An individual seeking recertification for each 
subsequent two-year cycle shall submit documenta- 
tion of having received 30 hours of training in 
alcohol and drug education traffic subjects during 
the preceding two years; 

(3) The training shall be provided or approved by 
DMH/DD/SAS; and 

(4) Documentation of mis training shall be submitted to 
the DWl/Criminal Justice Branch of 
DMH/DD/SAS at least 90 days pnor to expiration 
of the existing certification. 

(jQ Revocation or suspension of certification may be issued 
for failure to: 

(1) cover the required subjects outlined in the pre- 
scribed curriculum; 



ill 
121 

Li] 



maintain accurate student records; 



comply with certification requirements; 

report all students who complete the prescribed 

course to DMH/DD/SAS in a timely manner. 



Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.3803 OPERATIONS 

(a) Curriculum. School instructors shall use the curriculum 
specified in the "Curriculum Manual for Alcohol and Drug 
Education Traffic Schools" (DMH/DD/SAS publication APSM 
125-1, 130-1). 

(1) The program of instruction shall consist of not less 
than ten hours of classroom instruction as specified 
in the "Curriculum Manual for Alcohol and Drug 
Education Traffic Schools. " 

(2) Each school may provide up to three additional 



hours for classroom time and such activities as an 
initial student assessment, data gathering or a 
summary conference with students. Information 
regarding assessments is available in "Information 
for Conducting DWI Substance Abuse Assessments 
and Providing Treatment" (DMH/DD/SAS publica- 
tion APSP 125-2, 130-2). 
(b) Class Schedule. Each school shall provide a written 
notice to each student referred by the court as to the time and 
location of all classes which the student is scheduled to attend. 



LU 

m 



(41 



Each student shall be scheduled to attend the first 

and the last class sessions in the order prescribed in 

the curriculum manual. 

Classes shall be scheduled to avoid the maiority of 

employment and educational conflicts. 

Each school shall have a written policy which 

allows for students to be excused from assigned 

classes by the instructor provided that the excused 

absence is made up and does not conflict with 

Subparagraph (b)( 1 ) of this Rule. 

No class session shall be scheduled or held for 

more than three hours excluding breaks on any day 



or evening 



(c) Class Size. Class size shall be limited to a maximum of 
35 persons. 

id] Court Liaisons. Each school shall develop and implement 
written procedures of liaison with the court. These procedures 
shall be agreed upon and signed by the designated employee of 
the school and by the clerk of court, iudge and district attorney . 
These procedures shall include at least the following: 

(I) the procedure used to obtain referral of offenders 

from the court; 



01 
£41 



a provision that the school will notify each student 
of the time, date, and location of assigned classes; 
the procedure for notifying the court of a student's 
successful completion of the course; 
communicating to students in writing the require- 
ments for completing the course and developing a 
procedure to notify the court of non-compliance 
cases. 
[e] DWI Services Certificates Of Completion. The original 
copy of the North Carolina Department of Human Resources 
DWI Services Certificates of Completion shall be forwarded to 
DMH/DD/SAS for review within two weeks of completion of 
all services. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 



SECTION .3900 



DRUG EDUCATION SCHOOLS 

(DES) 



.3901 SCOPE 

A drug education school (DES) is a prevention and interven- 
tion service which provides an educational program for drug 
offenders as provided in the North Carolina Controlle d Sub- 
stances Act and Regulations. 



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July 3, 1995 



519 



PROPOSED RULES 



Statutory Authority G.S. 90-96; 90-96.01: 90-113. 14; 143B-147. 

.3902 STAFF 

Each class shall have a designated instructor who is certified 
bv the DMH/DD/SAS. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113. 14; 143B-147. 

.3903 OPERATIONS 

(a) Population Served: 

(1) Each school shall be designed primarily to serve 
individuals who are using drugs at the experimen- 
tal, social-recreational or abusive levels, but who 
are not drug dependent or engaged in drug dealing. 

(2) First offenders referred by the court in accordance 
with G.S. 90-96 and G.S. 90-1 13. 14 (Conditional 
Discharges and Expunction of Records for First 
Offense) shall be served. 

(3) Each school shall establish a written policy regard- 
ing participation of persons referred from other 
sources. These persons may be enrolled on a 
space-available basis. 

(b) Initial assessment. Each school shall provide an initial 
assessment for each potential student prior to the first class 
session to determine whether the student is eligible to attend the 
school and to determine if referral to a treatment resource is 
appropriate. 

(c) Class Size: 



<u 



01 



Class size shall be limited to a maximum of 35 
participants; however, the affective education 
portions of the class shall be limited to a maximum 
of 20 participants. 

Provisions shall be made for family members and 
guardians of students to audit classes; however, 
such individuals shall not be counted in the maxi- 
mum class size. 

(d) Curriculum. School instructors shall use the curriculum 
specified in the "North Carolina Curriculum Manual for Drug 
Education Schools" (DMH/DD/SAS publication APSM 125-2): 

(1) The program of instruction shall consist of not less 
than J5 hours of classroom instruction as specified 
in "The North Carolina Curriculum Manual for 
Drug Education Schools." 

(2) Each school may provide up to five additional 
hours of activity for classroom time and such 
activities as parent/child communication session, 
data gathering or a summary conference with 
saidents. 

(e) Class Schedule. Each school shall provide a written 
notice to each student referred by the court as to the time and 
location of all classes which the student is scheduled to attend. 

(1) Each student shall be scheduled to attend all ses- 
sions as described in the approved curriculum. 

(2) Classes shall be scheduled to avoid the majority of 
employment and educational conflicts. 

(3) Each school shall have a written policy which 
allows for students to be excused from assigned 



classes by the instructor provided that the excused 
absence is made up and does not conflict with (b) 
of this Standard. 

(4) Students shall have an opportunity to complete 
classes within the 150 day time limit for the course 
specified in G.S. 90-96 and 90-1 13.14 (Conditional 
Discharges and Expunction of Records for First 
Offense). The course instructor shall monitor the 
150 day time limit and notify the court if the 
student does not complete the school within that 
time limit. 

(5) No class session shall be scheduled or held for 
more than three hours excluding breaks on any day 
or evening. 

(f) Court Liaison: 
(1) Each school shall develop and implement written 

procedures of liaison with the court. These proce- 
dures shall include at least the following: 
the procedure used to obtain referral of offenders 
from the court; 



LA) 
(SI 



a provision that the school will notify each stu- 
dent of the time, date, and location of assigned 
classes; 

(C) the procedure for notifying the court of a stu- 
dent's successful completion of the course, 

(D) communicating to students in writing the require- 
ments for successfully completing the course and 
developing a procedure to notify the court of 
noncompliance cases. 

(2) These procedures shall be agreed upon and signed 
by the designated employee of the school and, if 
possible, by the clerk of court, judge and district 
attorney. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113. 14; 143B-147. 

SECTION .4000 - TREATMENT ACCOUNTABILITY 
FOR SAFER COMMUNITIES (TASC) 

.4001 SCOPE 

(a) Treatment Accountability for Safer Communities (TASC) 
is a service designed to offer a supervised community-based 
alternative to incarceration or potential incarceration primarily 
to individuals who are alcohol or other drug abusers, but also 
to individuals who are mentally iH or developmental^ disabled 
and who are involved in crimes of a non-violent nature. 

(b) This service provides a liaison between the criminal 
justice system and alcohol and other drug treatment and 
educational services. It provides screening, identification, 
evaluation, referral and monitoring of alcohol or other drug 
abusers for the criminal justice system. 

Statutory Authority G.S. 143B-147. 

.4002 STAFF 

(a) Each TASC staff member shall have a baccalaureate 
degree in either criminal justice or human service related fields 



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PROPOSED RULES 



or an associate of arts degree with four years experience in 
criminal justice or human service related fields. 

(b) TASC personnel shall receive continuing education in the 
following areas, 

(1) the physiological, sociological and psychological 

correlates of substance abuse, 

substance abuse treatment; 

judicial and political issues related to substance 

abuse; and 

substance abuse treatment and rehabilitation re- 






141 



LD 
L2J 



(c) Each TASC program shall provide its staff with: 

a revised and documented training plan, completed 

annually, 

a schedule for implementation of the plan, 

documentation of at least 32 hours annually of 

TASC relevant training which shall include, but 

need not be limited to, the following: 

(A) TASC mission and philosophy; 

(B) pharmacology; 

(C) sentencing practices; 

(D) assessment of drug dependency; 

(E) substance abuse treatment modalities and expecta- 
tions; and 

(F) case management. 



Statutory Authority G.S. 143B-147. 

.4003 OPERATIONS 

(a) Population Served. Each TASC program shall be 
designed to serve individuals who have a documented substance 
abuse problem and who are involved with the criminal justice 
system. 

(b) Screening and Identification. Each TASC program shall. 
(1) provide to potential referral sources a process by 

which identification, screening and referrals may be 
accomplished. The process shall include: 

(A) procedures which delineate the method for identi- 
fying TASC-eligible clients; 

(B) documented evidence that the program is seeking 
to have clients referred to it through the justice 
system. This evidence shall be in the form of a 
written agreement that shall be signed by the 
appropriate local judicial official; 
eligibility criteria for TASC client participation; 
and 

written evidence that cooperating justice system 
component and treatment agencies are aware of, 
and have a clear understanding of, who is eligible 
to receive TASC services. 

maintain a listing of community-based treatment, 
education, and other referral s ervices that includes 
admission and referral criteria. 



[D] 



Li 



(c) Evaluation. Each TASC program shall conduct or secure 
an a.s.se smi tent or evaluation lor each prospective client referred 
from the criminal justice system which shall include: 

(1) documentation that a standardized TASC assess- 



ment process is utilized to ensure that all eligibility 
criteria are met and that standardized TASC assess- 
ment instruments and procedures are used to 
confirm. 



[Aj 

ISJ 



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a substance abuse dysfunction: 
current criminal charges; and 
client cnminal history . 
a face to face assessment interview. 



(d) Referral. Each TASC program shall ensure that: 

(1) each client is referred to an appropriate level of 
care within 48 hours of the TASC assessment. In 
the event that immediate placement is unavailable, 
office monitoring shall be provided. 

(2) documentation in the signed agreement indicates 
that the potential TASC client has been informed 
and understands program requirements. 

(e) Monitoring/Reporting. Each TASC program shall 
develop and implement a monitoring and reporting procedure 
for each client, which shall include, but need not be limited to: 

(1) notification to the criminal justice system compo- 
nent and treatment provider of each client's TASC 
acceptance; 

(2) an approved individual TASC case management 
completed by the TASC program and the client 
within 30 days of admission: 

(3) documentation requirements for monthly progress 
reports from the TASC program to the referring 
agency; 

(4) notification, within 24 hours, of any client's TASC 
termination; and 

(5) documentation in the TASC file of progress for 
each TASC client from admission to discharge. 

(f) Success/Failure Criteria: 

( 1) Each TASC program shall d evelop and implement 
procedures to measure client success or failure, 
including readmission criteria. 

(2) All cooperating justice system components and 
treatment agencies shall be aware of this criteria as 
documented in a signed agreement. 

(g) Management Information System. Each TASC program 
shall report, monthly, to the DWI/Criminal Justice Branch. 
TASC program data using the standardized data form approved 
by the DMH/DD/SAS. 

(h) TASC Unit Organization: 

( 1 ) Each area program or contract agency shall ensure 
that TASC is recognized as a distinct service and 
include it on the organizational chart. 

(2) The area program and/or contract agency shall 
appoint a qualified TASC administrator with a 
specific job description. 

Statutory Authority- G.S. 122C-57; 143B-147. 

SECTION .4100 - THERAPEUTIC HOMES 

FOR INDIVIDUALS WITH SUBSTANCE 

ABUSE DISORDERS AND THEIR CHILDREN 



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521 



PROPOSED RULES 



.4101 SCOPE 

(a) A therapeutic home is a 24-hour professionally supervised 
residential facility which provides trained staff who work 
intensively with individuals with substance abuse disorders who 
provide or have the potential to provide primary care for their 
children. 

(b) These programs shall include assessment/ referral , 
individual and group therapy, therapeutic parenting skills, basic 
independent living skills, educational groups, child supervision, 
aftercare, follow-up and access to preventive and primary health 
care. 

(c) The facility may utilize services from another facility 
providing treatment, support or medical services. 

(d) Services are designed to provide a safe and healthy 
environment for clients and their children. 

(e) Each facility shall assist the individual with the develop- 
ment of independent living skills in preparation for community 
based living. 

Stannary- Authority' G.S. 143B-147. 

.4102 STAFF 

(a) Each individual and child admitted to a facility shall 
receive services from a qualified professional as appropriate to 
his or her needs who has responsibility for the client's treatment 
program. Each individual and child shall receive age-appropri- 
ate, therapeutic professional services. 

(b) A minimum of one staff member shall be present in the 
facility with an individual at all times unless the designated 
qualified professional has documented in the individual client 
plan that the client may be without supervision in certain clearly 
delineated instances. 

(c) A minimum of one staff member shall be present when 
one or more children are in the facility. 

(d) Each individual identified as a therapeutic residential staff 
member shall receive pre -service training in the following areas: 

( 1 ) Confidentiality; 

(2) Client rights, 

(3) Crisis management; 

(4) Developmental^' appropriate child behavior man- 
agement; 

(5) Medication education and administration; 

(6) Symptoms of secondary complications to substance 
abuse or drug addition; 

(7) Signs and symptoms of pre-term labor; and 

(8) Signs and s\ mptoms of post -part urn complications. 

(e) Adequate training to su pport the therapeutic process shall 
also be provided to all therapeutic residential staff in the 
following areas within 60 days of employment: 

(1) therapeutic parenting skills; 

(2) dynamics and needs of emotionally disturbed and 
substance abusing individuals and their children; 

(3) multi-cultural and gender specific issues; 

(4) ssues of substance abuse and the process of recov- 
ery; 
HIV/AIDS; 



(7) drug screening; 

(8) domestic violence, sexual abuse, and sexual assault; 

(9) pregnancy: delivery and well child care; and 
( 10) infant feeding, including breast feeding. 

Statutory Authority G.S. 143B-147. 

.4103 OPERATIONS 

(a) Admissions: 

(1) Admission to the facility shall be a joint decision of 
the designated qualified professional, the provider 
of residential care, and the individual. 

(2) The individual shall have the opportunity for at 
least one pre-admission visit to the facility except 
for an emergency admission. 

(b) Coordination Of Treatment And Education To Children 
In The Facility. The appropriate education program for a child 
shall be coordinated with his/her treatment/habilitation plan. 

(cj Emergency Medical Services. Each facility will ensure 
the availability of emergency medical services to include: 
(1) Immediate access to a physician; 
Acute care hospital services, and 
Assistance from a local ambulance service, rescue 






squad or other trained medical personnel within 20 
minutes of the facility, 
(d) Schedules: 
ill 



Ol 



The facility shall have a written schedule for daily 
routine activities. 

The facility shall establish a schedule for the provi- 
sion of treatment and ehabilitation services. 



Statutory Authority G.S. 143B-147. 

.4104 PHYSICAL PLANT 

(a) Each facility shall have the capacity to serve a minimum 
of three individuals. 

(b) Client bedrooms shall have at least 80 square feet for a 
single occupancy and the following additional square feet for 
clients' children: 



Lii 

m 



40 square feet for each infant and toddler; 

60 square feet for each pre-school age child; and 

80 square feet for each child above age six. 



(5) 



sexually transmitted diseases; 



Statutory Authority G.S. 143B-147. 

SECTION .4200 - .4900 - RESERVED FOR 
FUTURE CODIFICATION 

SECTION .5000 - FACILITY BASED CRISIS 

SERVICE FOR INDD7IDUALS OF ALL 

DISABILITY GROUPS 

.5001 SCOPE 

(a) A facility-based crisis service for individuals who have 
a mental illness, developmental disability or substance abuse 
disorder is a 24-hour residential facility which provides 
disability-specific care and treatment in a nonhospital setting for 



522 



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PROPOSED RULES 



individuals in crisis who need short-term intensive evaluation, 
or treatment intervention or behavioral management to stabilize 
acute or crisis situations. 

(b) This facility is designed as a time-limited alternative to 
hospitalization for an individual in crisis. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5002 STAFF 

(a) Staff supervision shall be provided by a qualified 
professional as appropriate to the client's needs. 

(b) Staff with training and experience in the provision of care 
to the needs of the clients shall be present at all times. 

(c) A physician shall be on call on a 24-hour per day basis. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5100 - COMMUNITY RESPITE 

SERVICES FOR INDIVIDUALS OF ALL 

DISABILITY GROUPS 

.5101 SCOPE 

(a) Community respite is a service which provides periodic 
relief for a family or family substitute on a temporary basis. 
While overnight care is available, community respite services 
may be provided for periods of less than 24 hours on a day or 
evening basis. Respite care may be provided by the following 
models: 

(1) Center-based respite - the individual is served at a 
designated facility. While an overnight capacity is 
generally a part of this service, a respite center may 
provide respite services to individuals for periods of 
less than 24 hours on a day or evening basis. 

(2) Private home respite ; the individual is served in 
the provider's home on an hourly or overnight 
basis. 

(b) Private home respite services serving individuals are 
subject to licensure under G.S. 122C, Article 2 when: 

(1) more than two individuals are served concurrently; 
or 

(2) either one or two children, two adults, or any 
combination thereof are served for a cumulative 
period of time exceeding 240 hours per calendar 
month. 

Statutory Authority G.S. 122C-22(a)(8); 122C-26; 143B-147. 

.5102 STAFF 

(a) The Program Director shall be either: 

(1) a graduate of a college or university with a four- 
year degree in human service-related field; or 

(2) a high school graduate or equivalent with at least 
three years of experience in human service pro- 
gramming. 

(b) All staff shall be at least 18 years of age except those 
who are J_6 or J_7 years of age and who are working directly 
under the supervision of an experienced employee. 



(c) Each staff member shall have a current medical statement 
on file with the facility. 

(d) The following minimum staff requirements apply to 
community center-based respites: 

(1) During waking hours, in a facility that serves four 

or more clients, a minimum of two staff members 
shall be on duty when five or fewer clients are in 
the facility. If more than five clients are being 



m 



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L4J 



every additional five or fewer clients shall be 
maintained. 

During waking hours, in a facility that serves three 
or fewer clients, a minimum of two staff members 
shall be on duty unless emergency backup proce- 
dures are sufficient to allow only one staff member 
on duty. 

During sleeping hours, a minimum of two staff 
members shall be available in the immediate area 
unless emergency backup procedures are sufficient 
to allow only one staff member on duty. 
On occasions when only one client is in the facility, 
a minimum of one staff member shall be on duty 
during waking and sleeping hours. 
(ej In a private home respite, at least one a pproved respite 

provider who has a basic understanding of the client's disability 

shall supervise the client at al] times. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5103 OPERATIONS 

(a) The governing body shall maintain an application for each 
provider of private home respite which includes the following: 

(1) identifying information; 

(2) preference of time when respite care can be pro- 
vided; 

(3) age and sex preference of respite clients. 

(b) Only the respite program director or his designee shall 
arrange respite care between the client's famil y and the respite 
provider. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5104 PHYSICAL PLANT 

In private home respite services: 



LU 



Ql 



A minimum of one ionized smoke detector wired into 
the house current shall be installed and centrally 
located. Additional smoke detectors that are not 
wired into the house current shall be checked at least 
monthly by the provider. 

A dry powder or CO(2) type fire extinguisher shall 
be located in the kitchen and shall be checked at least 
annual] y by the local fire department. Each provider 
of respite care shall receive instruction in its use prior 
to the initiation of service. 



Statutory Authority G.S. 122C-26; 143B-147. 



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July 3, 1995 



523 



PROPOSED RVJ.ES 



SECTION .5200 - RESIDENTIAL THERAPEUTIC 

(HABILITATIVE) CAMPS FOR CHILDREN AND 

ADOLESCENTS OF ALL DISABILrTY GROUPS 

.5201 SCOPE 

[aj A residential therapeutic (habilitative) camp is a residen- 
tial treatment facility provided in a camping environment which 
is designed to help individuals develop behavior control, coping 
skills, self-esteem and interpersonal skills. 

(b) Services may include supervised peer interaction, 
provision of healthy adult role models, and supervised recre- 
ational, educational and therapeutic experiences. 

(c) Each facility' shall be designed to serve children and 
adolescents six through \J_ years of age who have mental 
illness, developmental disability or substance abuse disorders. 

Statutory Authority G.S. 122C-26: 143B-147. 

.5202 STAFF 

(a) Each facility designed primarily to sen-e campers who are 
emotionally disturbed, have a mental illness, developmental 
disability or substance abuse, shall have a program director who 
has. 

( 1) a minimum of two years' experience in child or 
adolescent services specific to the camper's needs, 
and 

(2) who has camping experience, and who has educa- 
tional preparation in administrative, education, 
social work, nursing, psychology or a related field. 

(b) A minimum of two staff members shall be on duty for 
every eight or fewer campers. 

(c) Emergency medical treatment shall be available within 
one hour of the facility. 

(d) Psychiatric consultation shall be available to the facility. 

(e) An emergency on-call staff shall be readily available by 
page and able to reach campers within one hour. 

(f) Staff assigned to the facility shall be trained to manage the 
children or adolescents individually and as a group. 

(g) Each staff member who works directly and on a regularly 
scheduled basis with clients shall have a current medical 
statement on file with the facility. 

Statutory Authorin G.S. 122C-26; 143B-147. 

.5203 OPERATIONS 

(a) Each facility shall develop and implement written policies 
and procedures on basic care and safety. 

(b) In accordance with the schedules developed by the 
Program Director, staff shall maintain the following distance 
from the campers: 

(1) During waking hours, staff shall be within sight or 
voice range of the campers. 

(2) During sleeping hours, staff shall be located within 
voice range of the campers. 

Statuton.- Authohn G.S. 122C-26; 143B-147. 



.5204 PHYSICAL PLANT 

(a) All sleeping units shall provide at least the following 
space: 

(1) 30 square feet per person; 

(2) six feet between heads of sleepers; and 

(3) 30 inches between sides of beds. 

(b) A minimum of the following shall be provided: 

( 1) one shower head for each ten individuals; 

(2) one flush toilet for each ten individuals; and 

(3) one handwashing facility, adjacent to toilet facili- 
ties, for each 20 individuals. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5300 - THERAPEUTIC HOMES 
FOR CHILDREN AND ADOLESCENTS 

,5301 SCOPE 

(a) A therapeutic home is a 24-hour residential facility 
located in a private residence which provides professionally 
trained parent-substitutes who work intensively with children 
and adolescents who are emotionally disturbed or have a 
substance problem, or both. 

(b) The parent substitute. 

(1) provides for intensive living, social, therapeutic and 
skill-leaming needs; and 

(2) receives close supervision and support from a 
qualified professional. 

(c) The facility may utilize services from a facility providing 
treatment sen'ices such as outpatient or day treatment. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5302 STAFF 

(a) Each client admitted to a facility shall receive services 
from a designated qualified mental health professional or 
qualified substance abuse professional, as appropriate, who has 
responsibility for the client's treatment, program or case 
management plan. 

(1) Each facility shall have a qualified mental health 
professional or clinical consultation by a qualified 
mental health professional if a mental health client 
resides in the facility. 

(2) A facility shall have a qualified alcoholism, drug 
abuse or substance abuse professional or clinical 
consultation provided by a qualified alcoholism, 
drug abuse or substance abuse professional at least 
once a week if a substance abuser resides in the 
facility. 

(b) A minimum of one therapeutic home parent shall be 
present with clients at aH times unless the designated qualified 
professional has documented in the individual client plan that the 
client may be without supervision in certain clearly delineated 
instances. 

(c) The individual identified as the therapeutic home parent 
shall receive training in treatment services which shall include, 
but not be limited to, the following: 



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(1) child and adolescent development; 

(2) dynamics of emotionally disturbed and substance 
abusing youth and families; 

(3) symptoms of substance abuse; 

(4) needs of emotionally disturbed and substance 
abusing youth in residential settings; 

(5) administration of medication; 

(6) confidentiality; 

(7) client rights; and 

(8) development of the individual treatment plan. 



Statutory Authority G.S. 122C-26; 143B-147. 

.5303 OPERATIONS 

(a) Each facility shall serve no more than two clients. 

(b) There shall be a written agreement with the therapeutic 
home parent, and the designated qualified professional or 
placement agency which includes, but is not limited to. the 
following: 

(1) the responsibility of the provider; 

(2) confidentiality requirements; and 

(3) responsibility and procedures for securing emer- 
gency services. 

(c) Information regarding the client's specific needs or 
conditions shall be given to the provider prior to admission. 

(d) A copy of the agreement shall be given to the therapeutic 
home parents. 

(e) Each agency which provides services through contracts 
with the therapeutic home parents to serve clients in their home 
shall maintain an application file which includes identifying 
information. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5400 - DAY ACTIVITY FOR 

INDIVIDUALS OF ALL DISABILrTY 

GROUPS 

.5401 SCOPE 

(a) Day activity is a day/night facility that provides supervi- 
sion and an organized program during a substantial part of the 
day in a group setting to individuals who are mentally ill, 
developmentally disabled or have substance abuse disorders. 

(b) Participation may be on a scheduled or drop-in basis. 

(c) The service is designed to support the individual's 
personal independence and promote social, physical and 
emotional well-being through activities such as social skills 
development, leisure activities, training in daily living skills, 
improvement of health status, and utilization of community 
resources. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5402 STAFF 

(a) Each client admitted to a facility shall receive services 
from a designated qualified mental health, developmental 
disability or substance abuse professional, as appropriate, who 



has responsibility for the client's treatment, program or case 
management plan. 

(b) Each facility shall have at least one staff member on site 
at all times when clients are present in the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5403 OPERATIONS 

Each day activity facility shall be available three or more 
hours a day on a regularly scheduled basis at least once a week. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5500 - SHELTERED WORKSHOPS 

FOR INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.5501 SCOPE 

(a) A sheltered workshop is a day/night facility which 
provides work -oriented services including various combinations 
of evaluation, developmental skills training, vocational adjust- 
ment, job placement, and sheltered employment to individuals 
of al| disability groups 16 years of age or over who have 
potential for gainful employment. 

(b) This service is designed for individuals who have 
demonstrated that they do not require the intensive training and 
structure found in programs such as Adult Developmental 
Activity Programs (ADAP) but have not yet acquired the skills 
necessary for competitive employment. It provides the individ- 
ual opportunity to acquire and maintain life skills including 
appropriate work habits, specific job skills, self-help skills, 
socialization skills, and communication skills. 

(c) This service focuses on productive work activities for 
individuals who have potential for g ainful em ployment as 
determined by Vocational Rehabilitation Services or the ability 
to participate in a sheltered employment program. Sheltered 
workshops are subject to Department of Labor Federal Wage 
and Hour Guidelines for the Handicapped. 

(d) The Rules in this Section specify licensure requirements 
a pplicable to sheltered workshops which serve individuals who 
are primarily mentally retarded or otherwise developmentally 
disabled; however, individuals with mental illness, with 
substance abuse disorders and severely physically disabled 
individuals may also be served within a sheltered workshop. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5502 STAFF 

(a) Each facility shall have a designated full-time program 
director who shall have a baccalaureate degree with one year of 
experience in developmental disability rehabilitation program- 
ming; be a high school graduate or equivalent with three years 
of experience in developmental disability programming; or be 
a high school graduate or equivalent with three years of 
experience in business or personnel management. 

(b) Each facility shall have a designated program coordinator 
who shall have a baccalaureate degree with one year of 



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525 



PROPOSED RULES 



Li 
01 



experience in developmental disability programming or be a 
high school graduate or equivalent with three years of experi- 
ence in mental retardation or other developmental disability 
programming. 

(c] At least one staff member shall be designated as a client 
evaluator who shall have at least a high school diploma, and 
shall ha\ e completed a five day inservice training program in 
the evaluation component of a licensed ADAP or sheltered 
workshop or in another training program approved by 
DMH/DD/SAS. 

(d) Each facility shall maintain an overall direct service ratio 
of at least one full-time or full-time equivalent direct care staff 
member for every ten or fewer clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5503 OPERATIONS 

(a) Hours. Each facility shall be available for client atten- 
dance at least six hours per day (exclusive of transportation 
time), five days per week. 

(b) Business Practices: 

(1) Supplies, materials or tools, if provided by the 

sheltered workshop, shall be identified as a separate 
amount in the bid price. 

Wages paid to clients shall be on a piece rate or 
hourly commensurate wage. 
Each client involved in productive work shall 
receive a written statement for each pay period 
which indicates gross pay, hours worked and 
deductions. 

(4) Prices for goods produced in the facility shall be 

equal to or exceed the cost of production (including 
commensurate wages, overhead, tools and materi- 
als). 

(c) Safety Committee. A safety committee comprised of 
staff members and client representatives shall be appointed to 
review accident reports and to monitor the facility for safety . 
Minutes shall be kept of all meetings. 

Statutory Authority G.S. I22C-26; 143B-147. 

SECTION .5600 - SUPERVISED LPVTNG FOR 
INDIVIDUALS OF ALL DISABILITY GROUPS 

.5601 SCOPE 

(a) Supervised living is a 24-hour facility which provides 
residential services to individuals in a home environment where 
the primary purpose of these services is the care, habitation or 
rehabilitation of individuals who have a mental illness, a 
developmental disability or disabilities, or a substance abuse 
disorder, and who require supervision when in the residence. 

(b) A supervised living facility shall be licensed if the facility 
serves: 

(1) one or more minor clients; or 

(2) two or more adult clients. 



.5602 STAFF 

(a) Staff -client ratios shall be determined so as to enable staff 
to respond to individualized client needs. 

(b) A minimum of one staff member shall be present at all 
times when any adult client is on the premises, except when the 
client has been deemed capable of remaining in the home 
without supervision for a specified time by a qualified profes- 
sional of the operating agency or area program. The approval 
shall be documented . 

(c) Staff shall be present in a facility in the following 
client-staff ratios when more than one child or adolescent client 
is present. 



ill 



Li 



children or adolescents with mental illness or 
emotional disturbance shall be served with one staff 
present for every four or fewer clients present; 
children or adolescents with substance abuse disor- 



ders shall be served with a inimum of one staff 
present for every five or fewer minor clients 
present during waking hours. However, only one 
staff member need be present during sleeping hours 
if emergency back-up procedures as determined by 
the governing body are sufficient to allow only one 
staff member on duty; or 

(3) children or adolescents with developmental disabili- 
ties shall be served with one staff present for every 
one to three clients present and two staff for every 
four or more clients present. However, only one 
staff member need tg present during sleeping hours 
if emergency back-up procedures are sufficient to 
allow only one staff member on duty, 
(d) In facilities which serve clients who have substance abuse 
disorders. 

( 1) at least one staff member who is on duty shall be 
trained in alcohol and other drug withdrawal 
symptoms and symptoms of secondary omplications 
to alcohol and other drug addiction; 



Li 



Li 



when the clients are minors, staff shall be trained m 
\outh development and therapeutic techniques in 
working with youth; and 

the services of a certified alcoholism counselor, a 
certified drug abuse counselor or a certified sub- 
stance abuse counselor shall be available on an 
as-needed basis for each client. 



Statuton- Authorm G.S. 143B-147. 



(e) In facilities which serve individuals with behavior 
disorders in addition to developmental disabilities, the staff shall 
include at least one staff member who has received training in 
the area of behavior management through educational prepara- 
tion in special education, psychology or a closely related field. 

(f) Each staff member who works directly with clients shall 
have a current medical statement on file with the facility. 

Statutory Authority G.S. 143B-147. 

.5603 OPERATIONS 

(a) Capacity: 
(1) A facility shall serve no more than three clients 



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PROPOSED RULES 



when: 

(A) the client lives with a family; and 

(B) the family provides the service, 

(2) A facility shall serve no more than six clients when 
the clients have mental illness or developmental 
disabilities. 

(3) Any facility licensed on April 1, 1994, and provid- 
ing services to more than six clients at that time, 
may continue to provide services at no more than 
the facility's licensed capacity as of April J^ 1994. 

(b) Service Coordination. Coordination shall be maintained 
between the facility operator and the qualified professional who 
is responsible for treatment/habilitation or case management. 

(c) Participation of the Family or Legally Responsible 
Person: 

(1) Each client's family shall be provided the opportu- 
nity to maintain an ngoing relationship with their 
relative through such means as family visits to the 
facility and visits with the family outside the facil- 

(2) Reports to the parent of a minor resident, or the 
legally responsible person of an adult resident, shall 
be submitted at least annually. Reports may be in 
writing or take the form of a conference and shall 
focus on the client's progress toward meeting 
individual goals. 

Statutory Authority G.S. 143B-147. 

SECTION .5700 - ASSERTIVE COMMUNITY 
TREATMENT SERVICE 

.5701 SCOPE 

(a) Assertive community treatment (ACT) services shall be 
provided to individuals with serious mental illness, developmen- 
tal disabilities, and/or substance abuse diagnoses who: 

(1) may have a pattern of frequent use of crisis ser- 
vices; repeated hospitalizations or incarceration; 

(2) may have failed to remain engaged in or to respond 
to conventional services; or 

(3) have been determined to have unusual needs- 
Such individuals require intervention by an Assertive Commu- 
nity Treatment Team (ACTT) in order to provide ongomg 
assertive treatment and services that are made available outside 
clinic settings in order to address their treatment needs effec- 
tively. 

(b) The Assertive Community Treatment Team provides a 
service by an interdisciplinary team that ensures service 
availability 24 hours a day and is prepared to carry out a full 
range of treatment functions wherever and whenever needed. 
The objectives of the service include: 

(1) preventing or reducing symptoms or behaviors that 
may result in the need for recurrent use of inpatient 
services or incarceration; and 

(2) increasing the skills and behaviors that enhance the 
individual's ability to remain in the community. 



Statutory Authority G.S. 143B-147. 

.5702 STAFF 

(a) Team Composition. The team should be interdisciplinary 
in order to carry out the varied activities needed to meet the 
complex needs of clients and shall include: 

(1) a qualified professional, appropriate to the diagno- 
ses of the clients being served; 

(2) a Registered nurse; 

(3) an MP (at least .25 FTE p er 50 clients); and 

(4) one or more appropriately trained paraprofessional 
staff. 

(b) Team Qualifications. Each member of the team shall be 
privileged and supervised based on their training, experience, 
and qualifications. 

(c) Client To Staff Ratio. The client/staff ratio should be 
based on the needs of the clients for whom the team is assigned 
responsibility. The usual client/staff ratio would be 10 to 1, 
and shall not exceed 1 2 to 1 . 

(d) Organization And Operation Of The Team. The area 
program shall develop a program description and policies that 
address the following: 

(1) team composition consistent with staffing pattern 
based on anticipated client population and with the 
team composition, client/staff ratio, and staff 
qualifications described above; 

(2) training and supervision (including initial and 
ongoing cross-disability training if applicable); 

(3) communication between and among team members 
regarding clients' condition by assignment of daily 
staff responsibilities and regular, frequent staffing; 

(4) days and hours of operation; 

(5) after-hours plan including on-call coverage and 
linkages with appropriate a fter-hours emergency 
services; 

(6) client selection procedures and criteria consistent 
with this service definition; 

(7) description of service provision by ACTT and 
provisions for rapid access to consultation from 
other professionals as needed; and 

(8) policies regarding Quality Assurance and Quality 
Improvement including outcome measures. 

Statutory Authority G.S. MSB- 147. 

.5703 OPERATIONS 

(a) Objectives. The treatment objectives are addressed by 
activities designed to: 

(1) promote symptom stability and appropriate use of 
medication; 

(2) restore personal, community living and social skills; 

(3) promote and maintain physical health; 

(4) establish access to entitlements, housing, and work 
and social opportunities; and 

(5) promote and maintain the highest possible level of 
functioning in the community. 

(b) Client Selection Criteria. Eligibility for ACT services 



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527 



PROPOSED RULES 



shall te determined on the basis of a comprehensive assessment 
and shall meet criteria Subparagraphs (b)(1), (2), and (3) of this 
Rule: 

(1) A diagnosis of a serious mental illness, develop- 
mental disability or substance abuse; 

(2) Unusual needs that have required intensive service 
provision as evidenced by one or more of the 
following: 

(A) an established pattern of frequent use of crisis 
services, emergency rooms or incarceration 
related to the diagnosed disorder: 

(B) a history of multiple admissions to psychiatric or 
substance abuse inpatient treatment facilities or 
multiple emergency admissions to Mental Retar- 
dation Centers or respite facilities; or 

(C) a history of frequent contacts or referral to pro- 
tective service or the criminal justice system 
(including juvenile detention and training schools) 
secondary to severely dysfunctional or obviously 
dangerous behavior; and 

(3) Have symptoms and behaviors as evidenced by one 
or more of the following: 

(A) a history of alcohol and drug abuse in combina- 
tion with psychiatric symptoms or other serious 
medical or physical problems; 

(B) a pattern of isolation with extremely poor or non- 
existent social or family support; 

(C) a pattern of inability to provide for basic needs 
for food, clothing, and shelter; 

(D) a pattern of urgent and severe psychiatric and 
other concomitant medical difficulties; or 

(E) have failed to remain engaged in or to respond to 
conventional services (such as case management, 
medication, outpatient treatment, or day pro- 
grams). 

(c) Criteria For Continued Eligibility Of ACT Services. 

(1) If a client's needs can be adequately and appropri- 
ately addressed with an average of less than seven 
face-to-face contacts per month during any three- 
consecutive-month period, the treatment plan shall 
be reviewed to determine whether other less inten- 
sive service alternatives should be provided instead 
of ACT services. 

(2) If it is determined that less intensive services could 
meet a client's needs over the long run, the reasons 
should be documented, and the client should no 
longer be eligible for ACT services. 

Statutory Authority G.S. 143B-147. 

SECTION .5800 - SUPPORTED EMPLOYMENT 

FOR INDIVIDUALS OF ALL DISABILrTY 

GROUPS 

.5801 SCOPE 

(a) A supported employment program is a facility that 
provides periodic support services for adults with substantial 



developmental disability, severe physical disability, mental 
illness or substance abuse disorders to prepare the individual to 
work as independently as possible. 

(b) Supported employment encompasses a variety of services. 
These include vocational evaluation, job development, intensive 
training, and long-term support. Support services to clients' 
families and consultation with the clients' employers and other 
involved agencies may also be provided. 

(cj The Rules contained in this Section are applicable to two 
specific models of supported employment services: 

(1) Su pported Employment. All of the training activi- 
ties in this model occur in a separate location in the 
community, not in a specialized facility maintained 
by the operator. 

(2) Supported Employment - Long-Term Support. 
Clients served in this model have successfully 
completed the intensive initial training phase of 
supported employment sponsored by the Division 
for Vocational Rehabilitation Services, and now are 
receiving those long-term support services targeted 
towards maintenance in the job, which are the 
responsibility of DMH/DD/SAS: 

(A) At a minimum these services provide monthly 
monitoring at the work site of each individual in 
su pported employment in order to assess employ- 
ment stability, unless the individualized written 
rehabilitation plan specifies a different monitoring 
schedule or off-site monitoring, which is based on 
client request. 

(B) Examples of such long-term support services 
include "refresher" vocational training to ensure 
that existing job skills are not lost, training in new 
job performance expectations, and consultation to 
other employees, employers, and families, and 
residential program staff. 

(d) Whatever the model, it is the supported employment that 
is subiect to licensure, not the location of the business or 
organization where the client is placed for work. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5802 STAFF 

(a) Each supported employment facility shall have a desig- 
nated program director. 

(b) The Program Director shall be at least a high school 
graduate or equivalent with three years of experience in the 
appropriate disabilities programs. 

(c) Each facility shall provide for client evaluation. 

(d) Any person providing evaluation services shall have a 
high school diploma. 

(e) In group supported employment models, such as the 
mobile crew or enclave, each supported employment shall 
maintain an overall direct service ratio of at least one full-time 
equivalent direct service staff member for each eight or fewer 
clients. 

(f) In individual placement models, such as job coach, the 
amount of staff contact time per client shall be individualized 



528 



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PROPOSED RULES 



based on client needs and goals as identified in the Individual 
Program Plan. 
(g) Each facility shall have an Admissions Committee. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5803 OPERATIONS 

(a) Population Served. Each su pported employment program 
shall be designed primarily to serve individuals who are 16 
years of age or older. 

(b) Business Practices: 

(1) If the supported employment seeks or receives 
remuneration for goods or services provided to 
another individual, organization or business: 

(A) Supplies, materials or tools, if provided by the 
supported employment, shall be identified as a 
separate amount in the bid price, 

(B) Wages paid to su pported employment clients shall 
be on a piece rate or hourly commensurate wage; 

(C) Each client involved in productive work shall 
receive a written statement for each pay period 
which indicates gross pay, hours worked and 
deductions; and 

(D) Prices for goods produced in the supported 
employment shall be equal to or exceed the cost 
of production (including commensurate wages, 
overhead, tools and materials). 

(2) If the client is an employee of another individual, 
organization or business, the su pported employment 
shall review client earnings information on at least 
an annual basis to ensure appropriateness of pay 
rates and amounts. 

(3) Clients shall be counseled concerning their rights 
and responsibilities in such matters as wages, 
hours, working conditions, social security, redress 
for injury and the consequences of their own 
tortuous or unethical conduct. 

(c) Handbook. Each su pported employee shall have a client 
handbook including, but not limited to, information about 
services and activities: 



Ui 



01 



The client handbook shall be written in a manner 
comprehensible to clients and reflective of adult 
status. 



Each client shall be given a handbook, and the 

handbook shall be reviewed with the client. 
[dj Safety Educational Program. Supported employment 
services shall include the teaching of accident prevention and 

occupational safety specific to the job duties of each vocational Statutory Authority G.S. 122C-26; 143B-147. 
placement. 



statutory minimum wage over a consecutive 90-day period: 

(1) with prior approval of the appropriate area program 
director or designee, clients who are participating 
in a su pported employment program authorized by 
DMH/DD/SAS may have earnings in excess of 
60% the prevailing wage. 

(2) eligibility for clients in non-supported employment 
settings whose earnings have exceeded over 60% 
the prevailing wage for over 90 consecutive days 
may be extended for up to one calendar year if 
supported employment options are not available 
locally and the client is ineligible for other services 
from the Division of Vocational Rehabilitation; or 
if the client's social, behavioral or vocational skill 
deficits preclude participation in su pported employ- 
ment options and results in ineligibility for other 
vocational rehabilitation services. 

(3) the eligibility extension shall occur through the 
existing client recertification process earned out by 
the designated area program qualified developmen- 
tal disabilities professional. 

(A) Requests for the extension shall be based on a 
joint case review involving a representative of the 
involved area program, the local VR unit and the 
area program. 

(B) The request shall identify the specific skill deficits 
precluding eligibility for supported employment 
or other vocational rehabilitation services and 
include plans for addressing these deficits. 

(C) The certification extension may be reapplied for 
a maximum of two times only. The same criteria 
and procedures shall be followed in each instance 
of reapplication as are required for the initial 
extension. 

(b) Admissions. Each supported employment facility shall 
have written admission policies and procedures. 

(1) A pre-admission staffing shall be held for each 
client considered for admission to the supported 
employment program. During the staffing, the 
Admissions Committee shall consider information 
available regarding the client's medical, psychologi- 
cal, social, and vocational histories. 

(2) Results of the pre-admission staffing shall be 
documented and forwarded to the referral or 
sponsoring agency. A representative of the Admis- 
sions Committee shall notify the client. 



Statutory Authority G.S. 122C-26; 143B-147. 



SECTION .5900 - CASE MANAGEMENT FOR 
INDIVIDUALS OF ALL DISABILITY GROUPS 



.5804 CLIENT ELIGIBILITY AND 
ADMISSIONS 

(a) Eligibility. Clients served shall be eligible for supported 
employment regardless of financial resources with the exception 
of a client whose work earnings exceed 60% of the federal 



.5901 SCOPE 

(a) Case management is a support service through which 
planning and coordination of services are carried out on behalf 
of the individual. It js designed to integrate multiple services 
needed or being received by the individual from the area 



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July 3, 1995 



529 



PROPOSED RILES 



program or from other agencies with those services being 
received through the area program. 

(b) Case management may include advocacy on behalf of the 
individual and monitoring the provision of services to the 
individual. Within this context, case management assists an 
individual in meeting his total needs by linking the individual 
to evaluation, treatment, educational, vocational, residential, 
health, financial, social, and any other needed services. 

(c) The extent to which case management services are 
provided will vary according to the needs of the client. The 
area program which may elect to provide case management 
through a variety of models such as: 

( 1) primary therapist; 

(2) contract with a private agency; 

(3) disability-specific case managers; and 

(4) area operated case management units. 

Statutory Authority G.S. 143B-147. 

,5902 STAFF 

When infants, toddlers and preschoolers are sened, the case 
manager shall have demonstrated knowledge and understanding 
about: 

(1) infants and toddlers with or at risk for developmental 
delays or atypical development, 

(2) Part H of the Individuals with Disabilities Education 
Act, the federal regulations related to it and relevant 
state statutes and standards; 

(3) effective and appropriate help-giving behaviors; and 

(4) the nature and scope of the services available under 
the state's early intervention program, resources 
available for payment for services and other related 
information. 

Statutory Authority G.S. 143B-147. 

,5903 OPERATIONS 

(a) Provision Of Case Management. The case management 
process shall begin at the time the individual is accepted as a 
client and shall continue through the termination of the cli- 
en^agency relationship. 

(b) Case Management Activities: 

( 1) Case management activities shall include: 

(A) comprehensive assessment of the client's treat- 
ment "habilitation needs or problem areas; 

(B) the allocation of responsibilities for implementa- 
tion and monitoring of the treatment /- habilitation 
plan: 

(C) establishment of separate and joint responsibilities 
among staff and service agencies involved m 
helping the individual; 

(D) planning for need or problem resolution through 
the identification or development of an appropri- 
ate service network inclusive of all available 
resources; 

(E) assessment or determination of outcomes; and 

(F) when minors are served, informing families of 



the availability of advocacy services. 
(2) When infants and toddlers are served, the following 

additional activities are included: 

(A) developing transition plans in conjunction with the 
family related to entry 7 into pre schools which are 
the responsibility of the Etepartment of Public 
Instruction or other involved public or private 
service providers; 

(B) facilitating and participating in development, 
review and evaluation of individualized family 
service plans; 

(C) coordinating with medical and health providers, 
and 

(D) assisting parents of eligible children in gaining 
access to the early intervention services and other 
services identified in the individualized family 
services plan. 

Statutory Authority G.S. 143B-I47. 

SECTION .6000 - INPATIENT HOSPITAL 

TREATMENT FOR INDrVTDUALS WHO 

HAVT MENTAL ILLNESS OR 

SLBSTANCE ABUSE DISORDERS 

.6001 SCOPE 

(a) Inpatient hospital treatment involves the provision of 24- 
hour treatment in an inpatient hospital setting. This facility is 
designed to provide treatment for individuals who have acute 
psychiatric problems or substance abuse disorders and is the 
most intensive and restrictive type of facility for individuals. 
Services may include: 

1 1) psychological and medical diagnostic procedures: 

(2) observation: 

(3) treatment modalities, including medication, psycho- 
therapy, group therapy, occupational therapy , 
industrial therapy, vocational rehabilitation, and 
recreation therapy and milieu treatment: 

(4) medical care and treatment as needed; 

(5) supportive services including education: and 

(6) room and board. 

(b) Psychiatric facilities shall be designed to serve individuals 
who require inpatient care for the evaluation, treatment, and 
amelioration of those acute psychiatric symptoms yvhich impair 
or interfere with the client's ability to function in the commu- 
nity . Because inpatient care is the most restrictive sen, ice m the 
system of care for psychiatric patients, the goal of inpatient 
hospitalization is to stabilize symptoms so that the client can 
return to the community as soon as possible. An individual 
yvho. in addition to mental illness, has other disorders, such as 
mental retardation or substance abuse, shall be eligible for 
admission if the primary need of treatment is for mental illness. 

(c) Substance abuse facilities that provide detoxification 
services shall comply yvith the applicable rules for detoxifica- 
tion. 

Statutory Authority G.S. 143B-147. 



530 



NORTH CAROLINA REGISTER 



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10:7 



PROPOSED RULES 



.6002 STAFF 

(a) Each facility shall clearly delineate in writing the numbers 
and qualification of its personnel. 

(b) Each facility shall have a designated medical director. In 
a substance abuse facility, the medical director must be a 
physician with at least two years experience in the treatment of 
substance abuse. 

(c) A physician shall be present in the facility or on call 24 
hours per day. 

(d) A physician shall supervise the treatment of each client. 

(e) Staff coverage in a psychiatric facility shall include at 
least one of each of the following: 

(1) psychiatrist; 

(2) licensed practicing psychologist; 

(3) psychiatric social worker; 

(4) psychiatric nurse; and 

(5) the services of a qualified mental health profes- 
sional readily available by telephone or page. 

(D Staff coverage in a substance abuse facility shall include 
at a minimum: 

(1) one full-time certified alcoholism, drug abuse or 
substance abuse counselor for every ten or fewer 
clients. If the facility falls below this prescribed 
ratio and cannot meet the prescribed ratio by 
em ploying a counselor who is certified, then it may 
employ an uncertified counselor as long as this 
individual meets the certification requirements 
within a maximum of 26 months from the date of 
employment; 

(2) at least one registered nurse on duty during each 
shift; 

(3) at least two direct care staff members on duty at all 
times; 

(4) one direct care staff member for each 20 or fewer 
clients on duty at all times in facilities serving 
adults; 

(5) a minimum of one staff member for each five or 
fewer minor clients on duty during the hours 7:00 
a.m. to 11:00 p.m.; and 

(6) at least one staff member on duty trained in sub- 
stance abuse withdrawal and symptoms of second- 
ary complications to substance abuse. 

Statutory Authority G.S. 143B-147. 

.6003 OPERATIONS 

Program Plan Description. Each facility shall specify: 

(1) a daily schedule of therapeutic activities; 

(2) a description of services offered for the family and 
significant others and how these individuals are 
involved in the treatment process; and 

(3) a description of how the client and family members 
are linked in their home communities with support 
groups and referral sources; and 

(4) a description of how the facility will facilitate the 



continuity of care between inpatient and outpatient 
services. 

Statutory Authority G.S. I43B-147. 

SECTION .6100 - EMERGENCY SERVICES 

FOR INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.6101 SCOPE 

Each area program shall make provisions for emergency 
services on a 24-hour non-scheduled basis to individuals of all 
ages and disability groups and their families, for immediate 
screening or assessment of presenting problems including 
emotional or behavioral problems or problems resulting from 
the abuse of alcohol or other drugs. 

Statutory Authority G.S. 143B-147. 

.6102 STAFF 

(a) At least one staff member shall be designated to coordi- 
nate and supervise activities of the emergency services network. 

(b) A qualified professional, as appropriate to the client's 
needs, shall be available for immediate consultation and for 
direct face-to-face contact with clients. 

(c) Prior to providing emergency services, each staff member 
or volunteer shall be trained in: 

(1) available resources; 

(2) interviewing techniques; 

(3) characteristics of substance abuse disorders, devel- 
opmental disabilities, and mental illness; 

(4) crisis intervention; 

(5) making referrals; and 

(6) commitment procedures. 



(d) Volunteers shall be supervised by a qualified professional. 

Statutory Authority G.S. 122C-117; 122C-121; 122C-154; 
122C-155; 143B-147. 

.6103 OPERATIONS 

(a) Emergency services shall include at least the following: 

(1) 24-hour access to personnel trained in emergency 
services; 

(2) 24-hour telephone coverage at no cost to the client; 

(3) provision for emergency hospital services; and 

(4) provision of emergency back-up or consultation by 
a qualified mental health professional and a quali- 
fied alcoholism, drug abuse or substance abuse 
professional. 

(b) The emergency telephone number shall be clearly 
identified in the local telephone directory and publicized in the 
community through such means as brochures, appointment 
cards and public service announcements. 

(c) At least one designated staff member of the area program 
shall review emergency services records to assure that arrange- 
ments with treatment/habilitation staff are made for follow-up 
services. 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



531 



PROPOSED RULES 



Statutory Authority G.S. 143B-147. 

SECTION .6200 - OUTPATIENT SERVICES 

FOR INDIVIDUALS OF ALL DISABR.ITY 

GROUPS 

.6201 SCOPE 

Each area program shall make provision for outpatient 
services which are provided to individuals of all ages and 
disabilities, families, or groups in a non-hospital setting through 
short visits for the purpose of treatment, habilitation, or 
rehabilitation. 

Statutory Authority G.S. 143B-147. 

.6202 OPERATIONS 

(a) Availability Of Services. The area program shall provide 
at least one clinic that holds office hours no less than 40 hours 
per week in order to make available outpatient services. Clinics 
which are located at other sites in the catchment area, and 
which operate less than 40 hours per week, shall inform clients 
of the availability of the full-time clinic when part-time clinics 
are not open, 

(b) Scheduling Appointments. The service shall establish and 
implement written procedures for scheduling appointments and 
providing services for individuals without appointments. 

Statutory Authority G.S 143B-147. 

SECTION .6300 - COMPANION RESPITE 

SERVICES FOR INDIVIDUALS OF ALL 

DISABILITY GROUPS 

.6301 SCOPE 

Companion respite is a support service Ln which a trained 
respite provider is scheduled to care for the individual in a 
variety of settings, including the individual's own home or other 
location not subject to licensure. 

Statutory Authority G.S. 143B-147. 

.6302 STAFF 

Each provider shall have a current medic al statement on file 
with the area program. 

Statutory Authority G.S. 143B-147. 

.6303 OPERATIONS 

(a) Responsibilities Of Governing Body. Each governing 
body shall: 

(1) develop and implement written criteria for the 
approval of providers and the sites where services 
may be provided. 

(2) attempt to match the client's needs with the pro- 
vider's ability to provide respite services. 

(3) make available to the provider instructions regard- 



ing duties and responsibilities which shall include, 
but need not be limited to: 

(A) length of time for which service will be provided; 

(B) administration of medications: and 

(C) special dietary considerations. 

(4) furnish written information to the provider, if the 

client is involved in a day program, regarding 
responsibilities for assuring that the client attends 
the program and for structuring activities to en- 
hance objectives established by the developmental 
or occupational program, 
(b) Agreement With Providers. Unless represented in a 
written iob description for providers or in written policies and 
procedures, each governing body shall have a written agreement 
signed by each provider of respite care. A signed copy of the 
agreement shall be maintained by the governing body, and a 
signed copy shall be given to the provider. The provisions of 
the agreement shall specify the responsibilities of the governing 
body and the provider including: 

( 1) confidentiality requirements; 

(2) procedures for securing emergency services; 

(3) program activities to be implemented: 

(4) responsibilities for supervising the respite client; 

(5) procedures related to administration of medications; 

(6) participation in respite training programs; 

(7) terms of compensation; 

(8) client rights; and 

(9) adherence to agency policies and procedures. 

Statutory Authority G.S. 143B-147. 

SECTION .6400 - PERSONAL ASSISTANCE 

FOR INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.6401 SCOPE 

(a) Personal assistance is a service which provides aid to a 
client who has mental illness, developmental disabilities or 
substance abuse disorders so that the client can engage in 
activities and interactions in which the client would otherwise be 
limited or from which the client would be excluded because of 
a disability or disabilities. The assistance includes: 

(1) assistance in personal or regular living activities in 
the client's home; 



m 

[3j 



support in skill development; or 
support and accompaniment of the client in regular 
community activities or in specialized treatment, 
habilitation or rehabilitation service programs. 
(b) If these Rules are in conflict with Medicaid rules or 
Medicare regarding Personal Care, and Medicaid or Medicare 
is to be billed, then the Medicaid or Medicare rules shall 
prevail. 

Statutory Authority G.S. 143B-147. 

.6402 STAFF 

(a) Personal assistance shall be provided under the direction 



532 



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10:7 



PROPOSED RULES 



of a supervisor who is a qualified professional. 

(b) When a specific client's disability is different from that 
for which the supervisor is trained, the personal assistance 
employee shall have access to consultation from a qualified 
professional who is trained in a discipline related to the client's 
needs. 

(c) Individuals who are employed to provide personal 
assistance shall have: 

(1) at least a high-school diploma or its equivalent; and 

(2) special training regarding the needs of the specific 
client for whom assistance will be provided. 

(d) Individuals employed to provide personal assistance shall 
be specifically informed in each personal assistance arrangement 
regarding safety precautions and 24-hour emergency proce- 
dures. 

Statutory Authority G.S. 143B-147. 

.6403 OPERATIONS 

Housing Review When personal assistance for a client 
includes providing service in the client's home, one of the 
purposes of the service is to assess the safety and sanitation of 
the home with the client. If the safety or sanitation is in 
question, it shall be brought to the attention of the client and the 
professional responsible for the treatment/habilitation or case 
management of the client, so that the situation can be discussed 
as a part of the regular treatment/habilitation or case manage- 
ment planning process. 

Statutory Authority G.S. 143B-147. 

SECTION .6500 - EMPLOYEE ASSISTANCE 
PROGRAMS (EAP) 

.6501 SCOPE 

(a) An employee assistance program (EAP) is a worksite 
based program designed to assist in the identification and 
resolution of productivity problems in the workplace associated 
with employees impaired by personal concerns including, but 
not limited to, health, marital family, financial, alcohol, drug, 
legal, emotional, stress, or other personal concerns which may 
adversely affect employee job performance. 

(b) The service is offered in partnership with employers with 
whom the area program has a written agreement and provides 
employee education, supervisory training, referral, follow-up 
and program evaluation. 

Statutory Authority G.S. 143B-147. 

.6502 STAFF 

The area program shall designate an individual who has the 
responsibility for planning and implementing employee assis- 
tance programs with employers from both the public and private 
sector. 



.6503 OPERATIONS 

(a) Population Served. Each EAP shall be designed to serve 
the organization (employer), its employees, and their family 
members by providing a comprehensive system from which 
employees can obtain assistance addressing personal problems 
which may affect their work performance. 

(b) Written Agreement. The EAP shall implement, within 
the constraints placed on it by the employer firm, a written 
agreement with community employers which incorporates the 
following: 

(1) a written formal policy statement promulgated by 
the community employer which defines the intent of 
the program; 

(2) identification of a program administrator by the 
community employer who will serve as liaison 
between the employer and the EAP; 

(3) written procedures to be used by the community 
employer in implementing its EAP; 

(4) written procedures to be used by the EAP to carry 
out the screening and referral process; and 

(5) a statement assuring the community employer that 
the EAP shall comply with applicable confidential- 
ity regulations. 

(c) Training. The EAP shall establish and make available a 
training program to be used in promoting the utilization of the 
program. 

(d) Awareness Program. The EAP shall implement an 
ongoing employee awareness program to inform employees of 
the availability of services. 

Statutory Authority G.S. 143B-147. 

SECTION .6600 - SPECIALIZED FOSTER 
CARE SERVICES 

.6601 SCOPE 

Specialized foster care is a support service provided coopera- 
tively by the area program and the local department of social 
services or other licensed child care agency for individuals with 
developmental disability or mental illness who are in the 
custody of or whose parents have entered into a boarding home 
agreement with the local Department of Social Services or other 
licensed child care agency, individuals up. to 21 years of age 
may be served if they are involved in an ongoing educational 
program provided by the public school system or an adult day 
service provided by an adult developmental activity program or 
community college system. Support activities include funding, 
monitoring and evaluation, program coordination, pare nt 
training, development and implementation of individual treat- 
ment or goal plans, and consultation and technical assistance. 
These services shall be designed to serve those individuals in 
whose behalf area program funds are directed to foster parents 
in exchange for the provision of individualized prescriptive 
programming. 



Statutory Authority G.S. 143B-147. 



Statutory Authority G. S. 
143B-153. 



I31D. Article I A; 143B-I47; 



10:7 



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July 3, 1995 



533 



PROPOSED RULES 



.6602 APPROVED FOSTER HOMES 

Each foster home shall be licensed by the Department of 
Human Resources and supervised by the county Department of 
Social Services or other licensed child care agency and shall 
meet the criteria for receipt of Title XX (P.L. 97-35) foster care 
special services funds as specified in 10 NCAC 41 F and J. The 
criteria are available for review at each county Department of 
Social Services office. 

Statutory Authority G.S. I31D-10.3; 143B-147. 



to law enforcement officials, including consultation pnor to the 
commitment of an offender or alleged offender to any state 
psychiatric hospital, shall be provided, 
(c) Justice Treatment Services: 

(1) Each area program shall develop and implement a 
written justice treatment services plan which shall 
provide for the coordination of area program court 
related activities with the criminal lustice system. 

(2) An individual shall be designated who has responsi- 
bility for developing and implementing the mstice 
treatment services plan. 



.6603 PLACEMENT CARE AGREEMENT 

(a) The area program shall negotiate a placement care 
agreement with the specialized foster care parents on behalf of 
each individual for whom the area program contracts for 
specialized foster care services. 

(b) The agreement shall include provisions related to the 
following: 

(1) commitment by the foster parents to participate in 
needed treatment programs related to the foster 
placement; 

(2) commitment from the foster parents to participate 
with area program staff in the development and 
implementation of individualized treatment or goal 
plans; 

(3) commitment by the foster parents to receive consul- 
tation and technical assistance from the area pro- 
gram; and 

(4) commitment bv the foster parents that any decision 
to terminate sen'ices shall be negotiated among the 
foster parents, the area program and county Depart- 
ment of Social Services consistent with the termina- 
tion clause of the agreement. 

Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .6700 - FORENSIC SCREEMNG 

AND EVALUATION SERVICES FOR 

INDrvTDUALS OF ALL DISABILITY 

GROUPS 

.6701 SCOPE 

Forensic services shall be designed to serve offenders and 
alleged offenders referred by the criminal justice system by 
court order. 

Statutory Authority G.S. 143B-147. 

6702 OPERATIONS 

(a) Forensic Screening And Evaluation. Forensic screening 
and evaluation to assess capacity to proceed to trial shall be 
provided by evaluators trained and registered in accordance with 
the provisions of 10 NCAC 18F .0115 through .0122: TRAIN- 
ING AND REGISTRATION OF FORENSIC EVALUATORS 
(DMH DP SAS publication APSR 100-3). 

(b) Consultation To Law Enforcement Officials. Consultation 



Statutory Authority G.S. 15A-1002; 143B-147. 

SECTION .6800 - PREVENTION SERVICES 

.6801 SCOPE 

Prevention services shall include information, consultation- 
education and instruction for the general population. 

Statutory Authority G.S. 143B-147. 

.6802 STAFF 

The area program shall designate a director for prevention 
services. 

Statutory Authority G.S. 143B-147. 

SECTION .6900 - CONSULTATION AND 
EDUCATION SERVICES 

.6901 SCOPE 

(a) Consultation is a prevention or intervention service 
provided to other mental health, human service, and community 
planning and development organizations or individual practitio- 
ners of other organizations designed to both impart knowledge 
and assist recipients in developing insights and skills necessary 
to carry out their service responsibilities. The ultimate goal is 
to increase the quality of care available in the service delivery 
system. 

(b) Education is a prevention or intervention service designed 
to impart knowledge to various target groups, including clients, 
families, schools, businesses, churches, industries, and civic and 
other community groups in the interest of increasing understand- 
ing of the nature of mental health, mental retardation, and 
substance abuse disorders, and the availability of various 
community resources. It also sen'es to improve the social 
functioning of recipients by increasing awareness of human 
behavior and providing alternative cognitive or behavioral 
responses to life situations. 

Statutory Authority G.S. 143B-147. 

.6902 STAFF 

The consultation and education service shall have a designated 
director. 



534 



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July 3, 1995 



10:7 



PROPOSED RULES 



Statutory Authority G.S. 143B-147. 

.6903 OPERATIONS 

[a) Written Program Plan. Each area program shall develop 
annually a written plan for consultation and education services 
specifying populations that will be targeted and objectives to be 
obtained. 

(b) Coordination of Services. The consultation and education 
service shall be coordinated with other components of the area 
program to insure continuity of care. 

Statutory Authority G.S. 143B-147. 

CHAPTER 18 - MENTAL HEALTH: OTHER 
PROGRAMS 

SUBCHAPTER 18A - MONITORING 
PROCEDURES 

SECTION .0100 - REVIEW PROCESS FOR 4REA 
PROGRAMS AND THEIR CONTRACT 
AGENCIES 
0124 SCOPE 

Rulco .0125 through .0136 in this Sootion apply to all area 
programs and their contract agencie s . 

Statutory Authority G.S 122C-U3: 122C- 141(h); 122C-1 42(a): 
1 22C- 191(d). 

.0125 DEFINITIONS 

As us e d in thin S e ction, the following t e rms hav e th e m e an 
ings specified: 

(1 ) "Aroa Authority" moans the same a s specified in 

G.S. 122C3. 

(2) "Ar e a program" m e ans th e ag e ncy r e sponsib l e for 

mental health, developmental disabilities, and sub 
stance abuse services, cither directly or under con 
tract, for th e area authority in a d e signat e d catchm e nt 

"Accreditation" means the designation given a serv i ce 
by the Division to indicate: 



434- 



-m- 



oomphanc e with all applicab le G e n e ral Statutu e s 
and Rul e s of th e Commission and th e S e cr e tary: or 

-fb) ev i dence that action is being taken to correct an 

out of compliance finding. 
"C e rtificat e " m e an s th e docum e nt issu e d by th e 



444- 



Divi s ion for a o e rvio e to indioat e accr e ditation. 
"Commission" moans the same as specified in G.S. 
122C 3. 



4^4- 



4^4- 



1D+ 



division — m e ans 
I22C3. 



-th 



4» 



4&f- 



"Provi 



e same a s o p e oi 



4**J- 



-GtSt 



He 



>'idor" means the person and agency rcspon s i 
for the provision of a serv i ce. 
"S e rvice" m e ans th e care, treatm e nt, r e habilitation or 



habilitntion which is prov i d e d by an ar e a program. 
For the purpo s e of this document, the term " s ervice" 
may refer to one or more sites where the service is 



provided or to a System of Services as approved by 
th e Commission. 

Statutory Authority G.S. 122C-113: 122C-141(h): 122C-142(a); 
122C-191(d). 

.0126 GENERAL PROVISIONS 

— ta4 — All aroa operated and contracted services of an aroa 
program shall be rcview'od for compliance with the applicable 
Gen e ral Statut e s and Rul e s of th e Commission and th e S e cre 
tary. Trie accr e ditation r e vi e w shall b e conduct e d in accordance 
with the Rules in this Section. — Following accreditation, a 
service shall continue to bo reviewed, at a minimum, once 
during e very tri e nnial r e view oyol e . 

(b) A se rvic e s hall: 
(44 be authorized by the Division to receive s tart up 



434- 



Divi s ion funds: and 

following an on sit e r e vi e w, b e accr e dited by th e 

Division to continu e to rec e iv e Division funds. 



(c) The on site accreditation review 
service are the responsibility of the: 



and written report for a 



444 Division for an ar e a operat e d serv i c e : and 



-434- 



ar e a dir e ctor for a contract e d se rvic e . 



The Divi s ion Director' s designee sha l l make the determination 
of responsibility for review of a service when there is a question 
of r e sponsibility. 

(d) Accr e ditation shall b e maintain e d through participation in 
a triennial survey as described in Rule .0130 of this Section. 

(o) — The Division — shall bo responsible for approva l and 
issuance of th e c e rtificat e for an ar e a op e rat e d se rv i c e . 
— (f) The ar e a director and th e Division shall b e r e sponsibl e for 
approval and issuance of the certificate for a contracted service. 
— <-g-) — The — Div i sion s hall notify the area director in writing 
wh e n authorization for funds or th e accr e ditation of a oervioe is 
denied, or wh e n revocation of accr e ditat i on is initiat e d. — T4\e 
written notification shall give tho reason for such action and th o 
right to appeal the deci s ion according to Rule .0135 of this 
S e ction. — Th e ar e a dir e ctor shall provid e th e sam e notification 
to th e contracted provid e r or agency director wh e n s uch action 
involves a contracted service. 

— (4*) — In addition to tho review procedure s pre s cribed in this 
S e ction, oth e r r e vi e ws may b e conduct e d as follows: 



4+4- 



Th e Division Direct 3f- 



may. at any tim e , authoriz e 
an on si te review of a service. 

43) An area operated or contracted s ervice may, with 

the approval of th e area dir e ctor, r e qu e st an on site 
revi e w from th e Division tor the purpos e of con s ul 
tation and technical assistance with the under s tand 
ing that Rule .0128 of this Section does not apply. 

434 An area director may requ e st approva l of a Sy s t e m 

of S e rvic e s, in th e format upprov e d by th e Com 
m i ssion. 



Statutory Authority G.S. 122C-U3; 122C-141(h); 122C-142(a): 
122C-19KJ). 

.0127 ACCREDITATION 



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535 



PROPOSED RULES 



— (a) Tho area program shall submit an application for accredi tion procedures will be initiated, 

totion of a servic e , ao sp e cified in this Rul e , on th e Division 's 



"Application for Accr e ditation" form r 

— fb) — Tho area program shall s ubmit the application to the 

Division for a service at least 30 days prior to: 

14 provision of servic e to a cli e nt in a non accredit e d 



43 






provi 

s e rvic e ; 

change in provider for an existing service; or 

change of location or addition of sites. — The Divi 



sion shall d e t e rmin e if an on sit e accr e ditation 
review is requir e d based on th e information pro 
vided on the application and current statu s of the 
accredited servic e , 
(o) — Authorization for th e s e rvice to receiv e Division funds 
shall b e grant e d upon a d e t e rmination by th e Divi s ion that 
sufficient data has been provided by the applicant and there is 
reasonable assumption that the applicant will be able to fully 
p e rform all obligations pursuant to accr e ditation. 
— fd-) — Authorization to r e ceive Division funds shall not b e gin 
prior to the date of the ar e a director' s s ignature on the appli 
cation. 

( e ) — An on site accreditation r e vi e w of a servic e which has 
boon, authoriz e d to r e c e iv e Divi s ion funds shall b e compl e t e d 
within six months of the approved effective date, unle ss waived 
by the Division Director in accordance with Rule .0135 of thi s 
S e ction. 

— (f) Th e date of accr e ditation s hall b e th e dat e of the on sit e 
accreditation review. 

Statutory Authority G.S 122C-113: 122C-141(b); 122C-142(a); 
122C- 191(d). 

.0128 OLT-OF-COMPLIANCE FINDING 

(a) When a s e rvic e is found to b e out of complianc e with on e 
or mor e applicabl e Statutes or Rules, which do not pr e s e nt an 
immediate threat to the health, safety or welfare of an individual 
served, the area program shall s how evidence that action ha s 
boon or will b e taken to corr e ct th e out of complianc e finding. 
This is accomplish e d through th e d e v e lopm e nt of a corr e ctiv e 
action p l an. 

— th) — Tho area director shall submit a corrective action plan 
within 30 days of writt e n notification of an out of complianc e 
finding for r e vi e w and approval by th e Division. — If not 
approved, the Division return s the plan to the area director for 
further re s olution. 

— te} — Th e tim e allow e d for th e corr e ctiv e uotion to b e tak e n 
s hall not e xc ee d six months e xc e pt wh e n waived by th e Divi s ion 
Dir e ctor in accordance with Rule .0135 of this Section. 

(d) — When an out of compliance issue is fully resolved with 
s upporting docum e ntation, a l e tt e r shall be s ent from the 
Division to th e area board chairman and th e ar e a dir e ctor stating 
that the i s sue is re s olved. 

— (e) If an out of compliance i ss ue i s not fully resolved and it 
i s f e lt by th e Division that th e r e i s not e vid e nc e that acceptable 
acnon is being tak e n to corr e ct th e out of complianc e finding, 
a letter shall be sent from tho Division to the area board 
chairman and area director stating that revocation of accredita 



Statutory Authority G. S. 122C-113; 122C-141(b); 122C-142(a); 

122C-191(d). 



.0130 



TRIENNIAL ACCREDITATION 
REVIEW 

steW- 



— fa-) — An area program shall maintain accreditation of its 

services by participation in tho triennial, on site, accreditation 

r e vi e w process as d e scrib e d in this S e ction, 
(b) — At l e ast 60 days prior to th e on sit e r e vi e w, th e ar e a 

director shall assure that: 

(4-) the Inventory of Services, which i s provided by the 

Division, is an accurat e r e fl e ction of its current 
area op e rated and contract e d s e rvic e s; and 

(2) all area operated and contracted services are re 

viewed and a statement of compliance or a correc 
tiv e action plan is submitt e d to th e Division. 
(c) The area dir e ctor s hall b e responsibl e for corrective action 

which addresses an out of compliance finding identified during 

tho review a s described in Rule .0128 of this Section. 

Statutory Authority G.S. 122C-113: l22C-141(b); 122C-142(a); 
122C-19KJ). 

.0132 DENIAL OR REVOCATION OF 
ACCREDrTATION 

— {«) — The denial or revocation of accreditation for a service 

shall be initiated: 

(44 upon confirmation that a s e rvic e subj e ct to lieon 

sur e is not lic e ns e d: 
(-24 when there is substantiated evidence of a condition 

which threaten s tho health, safety or welfare of an 

individual se rv e d; 
(-3-1 upon failur e to compl e te corr e ctiv e action in accor 

dance with the approved plan; or 

(4) upon failure to participate in the — triennial survey. 

— (b) — If th e Division — finds that a se rvice meets on e or mor e 
of th e conditions sp e cifi e d in Paragraph (a) of thi s Rul e and that 
th e appropriate procedures have been followed by the Divi s ion. 
Division tundfl shall be withheld as outlined in accounting Rule 
10 NCAC 11C . iO 1 3 until complianc e i s achi e v e d as d e t e r 
min e d by th e Division Director. 

Statutory Authority G.S. 122C-113; 122C-141(h); 122C-142(a); 
l22C-191(d). 

.0133 CHANGES IN STATUS 

— A "Change In Status" form, provided by the Division, shall 
b e submitt e d imm e diat e ly by th e ar e a dir e ctor to th e Division. 
when a chang e occur s in information for a s e rvic e in th e 
Inventory of Services, excluding tho s e s ituation s requiring an 
"Application for Accreditation", as specified in Rule .0127(b) 
of thi s S e ction. 

Statutory Authority G.S. 122C-113; 122C-141(b); 122C-i42(a); 
122C-19KJ). 



536 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



.0135 APPEALS AND WAIVERS 

— fa) — An ar e a board may informally app e al to th e Division 
Director regarding accreditation and the withholding of Division 
funds sot forth in this Section. — A formal appeal, final agency 
dooioion. and oontootod oaoe hearing may b e r e quested in 
accordance with proc e dures sp e cifi e d in 10 NCAC 14C . 1013 
and 10 NCAC 14B, Section .0300. 
— (&) — Waiver of a rule in this Section may bo granted in 



abuse treatment se rvic e operated by an area program is sur 
voyod and accredited by th e Joint Commission on Accr e ditation 
of Healthcare Organizations, the Commi ss ion d ee ms th e se rvic e 
to bo in compliance with applicable rules codified in 10 NCAC 
1 8 1 through 1 8 Q with the exception of the following rules: — H) 
NCAC 1 8 1 .01 14; 1 8 J .0213; 18L .0108, ,0324, .0129, and 
.0431. — Any s e rvio e c e rtifi e d und e r th e provisions of th e rul e s 
contained in 10 NCAC 181 through 1 8 Q shall, however, 
continue to be subject to inspection by the Division. 



aooordanoo with the proo e duroo codifi e d in 10 NCAC 14B (b) If an inpatient psychiatric s ervic e or inpati e nt substance 

abus e treatment servic e is provided on a contractual basis with 



.0500. — The waiver decision shall b e bas e d on, but not b e 
limited to: 

whether the health, safety or welfare of the client 13 



an area program and is surveyed and accredited by the Joint 
Commission on Accreditation of Healthcare Organizations, the 
Commission d ee ms th e s e rvic e to b e in complianc e with 
applicab le rul es codified in 10 NCAC 1 8 1 through 18Q with th e 
exception of the following rules: 10 NCAC 1 8 1 .0114; 1 8 J 
.0213; 1 8 K .0263; 1 8 L .010 8 , .022 4 , and .0429. Any service 
c e rtifi e d und e r th e provisions of th e rul e s contained in 10 
NCAC 1 8 1 through 1 8 Q s hall, how e v e r, continu e to b e s ubj e ct 
to inspection by the Division. 
122C-26; 122C-27: 122C-U2: (c) If a residential service for persons with mental retardation 

or oth e r d e v e lopm e ntal disabiliti e s op e rat e d by an ar e a program 
is c e rt i fi e d as an Int e rm e d i ate Car e Facility for th e Mentally 



— w — 

threaten e d; 

f2) th e nature and e xt e nt of the r e qu e st; and 

f2) the past record of the service providor with compli 

anco of rules. 
The d e oioion to deny a waiv e r r e quest is a final ag e ncy d e cision 
for purpos e s of initiating a cont e sted oas e h e aring. 



Statutory Authority G. S. 
122C-191; 143B-147. 



.0136 CONFIDENTIALITY OF REVIEW 
DATA 



(a) All persons who participate in on site r e views shall assur e 
confid e ntiality in aooordano e with G.S. 
122C 192 and 10 NCAC 1 8 D .012 4 . 

(b) Written roviow findings are a matter of public record and. 
as suoh, shall bo available for publio insp e ction after rooo i pt by 
th e ar e a director and th e ar e a board ohairp e rson. 



Statutory Authority G.S. 122C-56(c); 122C-113; 122C-141(b); 
122C-142(a); 122C-191(d); 122C-I92. 

SUBCHAPTER 181 - GENERAL 
REQUIREMENTS 

SECTION .0100 - PURPOSE: SCOPE: 
APPLICABILrTY AND DEFTNmONS 

.0114 PURPOSE AND SCOPE 

-fa) — Subchapt e rs 1 8 1 through 1 8 Q of this Chapt e r s e t forth 



Retarded (ICF/MR) by the North Carolina Division of Facility 
Service s for the Health Care Financing Admini s tration of the 
Unit e d States D e partm e nt of H e alth and Human S e rvic es , th e 
122C 56(o), G.S. Commission dooms the se rv i c e to b e in complianc e with 
applicable rule s codified in 10 NCAC 1 8 1 through I8Q w i th th e 
oxcopt i on of the following rules: 10 NCAC 1 8 1 .011 4 ; 1 8 J 
.0213; 1 8 L.010 8 , 1 8 L.0224, 18L .0429 and 18L.0431. Any 
s ervic e c e rtifi e d und e r th e provisions of th e rule s contained in 
10 NCAC 1 8 1 through 18Q shall, however, continue to b e 
subject to inspection by the Divi s ion. 

(d) If a resid e ntial s e rvio e for p e rsons w i th m e ntal r e tardation 
or oth e r d e v e lopm e ntal disabiliti e s is provid e d on a contractual 
basis and is certified as an Intermediate Care Facility for the 
Mentally Retarded (ICF/MR) by the North Carolina Divi s ion of 
Faoility S e rvic e s for th e H e alth Car e Financing Admini s tration 
of th e Unit e d Stat e s D e partm e nt of H e alth and Human Sorvio o s, 
the Commission dooms the serv i ce to b e in compl i ance with 
applicable rule s codified in 10 NCAC 1 8 1 through 18Q with the 
e xc e ption of th e fo l lowing rul e s: 10 NCAC 181 .0114; 1 8 J 
.0213; 1 8 K .0263; 18L .0108, 18L .0224, I8L .0429, and 18L 



minimum standards for ar e a programs and oontraot ag e nci e s of .0 4 31. Any service certifi e d under the provisions of the rules 



area program s . All area programs and contract agoncios of aroa 
programs shall comply with those standards as a condition for 
participation in f e d e ral state financial aid. 
(b) Each ar e a program and its oontraot ag e nci e s ar e subject to 
roviow for compliance with the standards contained in Subchap 
tors 1 8 1 — 18Q according to procedures specified in REVIEW 
PROCESS FOR AREA PROGRAMS AND THEIR CON 
TRACT AGENCIES (division publication APSM 40 1). 

Statutory Authority G.S. 143B-I47. 

.0115 DEEMED STATUS 

-(a-) — If an inpatient psychiatric s e rvice or inpati e nt substanoo 



contained in 10 NCAC 1 8 1 through 1 8 Q shall, however, 
oontinu e to be subject to insp e ction by th e Division. 
( e ) Deemed status may b e prov i ded only i f th e program s hall 
agroo to provide to the Divis i on of Mental Health, Mental 
Retardation and Substance Abuse Services copies of th e 
following dooum e nta: 



444- 



JCAHO stat e ment of con s truction and fir e 



-(24- 



protection (a s s ubmitted to JCAHO by the 

accredited program); 

JCAHO r e ports and r e commendations; 



-m- 



JCAHO focused s urv e y r e ports; 

-(4) Accredited program progress reports which 

have boon sent to the program by JCAHO; 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



537 



PROPOSED RULES 



f£) Permission to participat e in any regular 

surv e y conduct e d by th e JCAHO. 

Statutory Authority G.S. 143B-147. 

.0116 APPLICABILITY TO AREA 
PROGRAM MANAGEMENT 

Each area program shall comply with the standards delineated 
in 10 NCAC 18J: Area Program Management Standards. 

Statutory Authority G.S. 143B-147. 

.0117 APPLICABILITY TO CONTRACT 
AGENCY MANAGEMENT 

Each contract ag e ncy of th e ar e a program shall comply with 
the standards d e lin e ated in 10 NCAC I 8 K; Contract Agency 
Management Standards. 

Statutory Authority G.S. 122C-141; 122C-142: 143B-147. 

.0118 APPLICABILITY TO PROGRAM 
COMPONENT OPERATIONS 

Each program component, whether area operated or con 
tracted. shall comply with the applicabl e standards delineated in 
10 NCAC 1 8 L; Program Compon e nt Op e rational Standards; 
and with the applicable standards relating to program compo 
nents delineated in 10 NCAC 18M. 18N, ISO. 18Pand 18Q 
which gov e rn th e servic e provid e d by th e program component. 

Statutory Authority G.S. 122C-141; 122C-142; 143B-147. 

0119 REQUIRED SERVICES 

Each area program shall provid e or contract for th e provi s ion 
of e ach se rvice delineated in — 10 NCAC — 1 8 M; R e quir e d 
Services. 

Statutory Authority G.S. 143B-147. 

.0120 DEFINITIONS 

(a) For the rules contained in Subchapter 181 through 18Q of 
this Chapter the following definitions apply: 



-m- 



" Administering M e dication" m e ans th e t e rm 



as d e fin e d in 10 NCAC MK .0103. 
"Affective Education" moans teaching the 



-43*- 



-£)- 



individual to work with his own and others' 

feelings and e motions for th e primary pur 

pos e of und e rstanding or modifying b e havior 

and improving skills for making healthy. 

responsible decisions and for communicating 

e ff e ctiv e ly. 

"Alcohol Abus e " m e ans th e t e rms as defined 



in 10 NCAC 1 4 K .0103. 
-f+) "Alcohol Dependence" (alcoholism) means 



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th e t e rm as d e fin e d in 10 NCAC MK .0103. 
"APSM 35 1" means "Standard for Ar e a 



Programs and Their Contract Agencies" 



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codified in 10 NCAC 181 through 1 8 Q and 

publish e d by the Division. 

"Area Director" m e ans an employ e e of the 



area board who is appointed by the area 
board with the approval of the Division 
director according to the procedures d e lin 
e ated in division publication APSR 105 1 and 
codified in 10 NCAC 1 8 W .0001 through 
.000 4 . — The area director is responsible for 
th e appointm e nt of s taff, for implementation 
of th e policies and programs of th e Board, 
compliance with the standards of the Com 
mission, and for the supervision of all staff 
and service programs und e r the auspic e s of 
th e area board. 

-&) "Area Program" moans the term as defined 

in 10 NCAC 1 4 K .0103. For purposes of 
th e se Rul e s, the t e rm "ar e a program" m e ans 
th e same as "ar e a authority" as d e fin e d in 
G.S. 122C 3. 
"Assessment" means the term as defined in 



10 NCAC MK .0103. 

"Atypical d e v e lopm e nt" m e ans the term as 



defined in 10 NCAC I 4 K .0103. 
( 10) "Behavior Modification" means the quantifi 



abl e application of on e or more conting e ncies 
in a deliberate att e mpt to incr e as e or decrease 
the frequency of a specified action or behav 
lor of an individual. 

(11) "Catchm e nt — Ar e a" — m e ans — a — g e ographic 

portion of the stat e s e rv e d by a sp e cific area 
mental health, mental retardation and sub 
stance abuse authority as specified in 10 
NCAC 1 8 W .0001 .0003 (divi s ion publico 
tion APSR 105 2). 

(12) "Certified alcoholism counselor" mean s an 

individual who i s certified as such by the 
North Carolina Substance Abus e Prof e ssional 
C e rtification Board. 

( 13) "Certified Drug Abu s e Counselor" means an 



individual who i s certified as such by the 
North Carolina Substanc e Abus e Prof e ssional 
C e rtification Board. 
"Certified — Substance — Abuse — Coun s elor" 



means an individual who is certified as such 
by — th e North Carolina Substanc e Abus e 
Prof e ssional C e rtification Board. 
"Child" means the term as defined in 10 



NCAC 1 4 K .0103. 

"Chronically M e ntally HI Adult" m e an s th e 



t e rm a s d e fin e d in 10 NCAC MK .0103. 
"Client Care Evaluation Study" means evalu 



ation of the quality of services by measuring 
actual — s e rvic e s — against — spe cific — crit e ria 
through coll e ction of data, id e ntification and 
justification of variations from criteria, analy 
sis of unjustified variations, corrective action. 



538 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



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424)- 



424)- 



436V 



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and follow up study. 
"Clinical Staff M e mb e r" 



m e ans th e t e rm a s 



dofinod in 10 NCAC MK .0103. 

(19) "Componont" — ef — " Program — Componont" 

means a service developed to moot a partieu 
lar need. — Th e program compon e nt i s pro 
vidod eith e r through operation by th e ar e a 
program or through contract with a public or 
private agency. 

(20) "Contract Agency" m e ans th e t e rm as d e 

fined in 10 NCAC 14K .0103. 

(21) "Criminal Justice System" moans a network 

which includes such elements as law enforce 
m e nt. attorn e ys, the judiciary, adult corr e c 
tions programs, (including prisons, probation 
and parole) and youth correction s programs. 



"Day/night Service" — means the term as 
defined in 10 NCAC MK .0103. 
"Detoxification" m e ans th e t e rm as d e fin e d 



in 10 NCAC 1 4 K .0103. 
"Dovclopmcntally delayed children" means 



the term as defined in 10 NCAC MK .0103. 



"Dir e ct Car e Staff' means th e t e rm as d e 
fined in 10 NCAC 1 4 K .0103. 
"Disability Group" mcan3 cither the mentally 
r e tard e d, m e ntally ill, or substanc e abus e rs. 

(27) "Disast e r R e li e f Planning" m e ans arranging 

for the provi s ion of crisis coun s eling to 
surv i vors of major natural or man made 
oatastrophi e s in aoeordano e with the provi 
sionsof P.L. 93 2 88 . 

(28) "Dispensing Medication" moons the term as 

dofinod in 10 NCAC MK .0103. 
"Division" m e ans th e same as the t e rm 
"DMH/DD/SAS" as defined in 10 NCAC 
MK .0103. 



"Documentation" means the term as defined 

in 10 NCAC MK .0103. 

"Drug Abus e " m e ans th e t e rm as d e fin e d in 



10 NCAC MK .0103. 

(32) "Drug Dependence" (addiction) means the 

t e rm as d e fin e d in 10 NCAC MK .0103. 

(}J) "Early Int e rv e ntion Sep . ices" m e ans th e t e rm 

as denned in 10 NCAC MK .0103. 

(3 4 ) "Emergency Service" moans an assessment 

s e rvic e which is provid e d on a 21 hour 
non schedul e d basis to individuals for imm e 
diate — sc rccning/asscssmcnt — of presenting 
problems. — Crisis intervention or referral to 
oth e r s e rvic e s ar e provid e d as indicat e d. 
Those services may b e provid e d e ith e r in a 
hospital or non hospital setting. 

(35) "First Aid" moons the term as defined in 10 



NCAC MK .0103. 

"Follow — Along" — (-fef — mental — r e tardation 



clients) means provision by the agency for a 
continuing relationship with the client for the 



4374- 



4494- 



4434- 



445^ 



446)- 



4474- 



purposo of assuring that the client's changing 
needs are r e cogniz e d and appropriately m e t. 
"Fost e r Par e nt" m e ans an individual who 



provides substitute caro for a planned period 
for a child whon his own family or legal 
guardian cannot care for him; and who i s 
lic e ns e d by th e N.C. D e partm e nt of Human 
Resources and supervised by the County 
Department of Social Services or by a pri 
vate program lic e ns e d or approv e d to engag e 
in child care or child placing activiti e s. 

(3 8 ) "Governing Body" means the term a s defined 

in 10 NCAC 1 4 K .0103. 

(39) "H e /His/Him" m e ans — pronouns — used 

throughout th e s e s tandards for conv e ni e nc e 
and consistency for reference to both s exe s . 
"Health Services" means the term as defined 



in 10 NCAC MK .0103. 
(41) "High risk childr e n" m e ans th e t e rm a s 

donned in 10 NCAC MK .0103. 
( 4 2) "Hour s of Operation" mean s the term as 



d e fin e d in 10 NCAC MK .0103. 
"Individualiz e d Education Program" means 



a written s tatement for a child with s pecial 
needs that is developed and implemented 
pursuant to 16 NCAC 2E .1500 (Rul es 
Gov e rning Programs and S e rvic e s for Chil 
drcn with Special Needs) available from the 
Department of Public Instruction. 
(41) "Infant" m e ans the term as defined in 10 



NCAC MK .0103. 



t'ided 



"Inpatient s ervice" means a s ervice provi 
in a hospital setting on a 2 4 hour basis under 
th e dir e ction of a physician. — Th e s e rvic e 
provid e s continuous, clos e sup e rvision for 
individuals with moderate to severe mental or 
substance abuse problems. 
"Justice Treatment Services" moon s con s ulta - 
tion, tr e atm e nt or e ducational se rvic e s of 



fcrod by the 



t4 



no area program to components 
the criminal justice system for individuals 
who have boon indicted, pros e cut e d or incar 
o e rnt e d. 
"Legend Drug" moans the term as defined in 



10 NCAC MK .0103. 

(1 8 ) "M e dication" m e ans th e term as defin e d in 

10 NCAC MK.0103. 

( 4 9) "Minor Client" moans the tenn as defin e d in 

10 NCAC 1 4 K .0103. 

(50) "Normalization Principle" moons the princi 

pi e of h e lping individuals to obtain on axis 
tencc os close to normal as possible by mak 
ing available to them pattern s and condition s 
of e v e ry day lif e that ar e a s clo se as possibl e 
to th e norms and patterns of th e main s tr e am 
of s ociety. 

(51) "Nurse" moans the term a s defined in 10 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



539 



PROPOSED RULES 



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-(§§)- 



-(56)- 



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NCAC UK .0103. 

"Outpati e nt or outpati e nt s e rvio e " m e ans th e 



term ao d e finod in 10 NCAC HK .0103. 
"Parent" means the term as defined in 10 



NCAC HK .0103. 

"Poor Review " m e ans th e formal aooeoom e nt 



by profeooional otnff of th e quality 1 and offi 
cioney of sorvicos ordorod or performed by 
other professional staff. 
"Periodic? Servic e " means the torm ao defined 



(71) "Qualified Substance Abuse Professional " 

moano th e term as d e fin e d in 10 NCAC UK 
,©403. 

(72) "Registered Dietitian" moans the term a3 

defined in 10 NCAC 1 4 K .0103. 

(73) "R e habilitation" moans th e term ao defined in 



in 10 NCAC HK .0103. 

"Preschool age child" means the term as 



defined in 10 NCAC 14K .0103. 
"Prev e ntion/int e rvention S e rvio e " m e ans a 



servic e provid e d to th e g e n e ral public or 
major segments of a community. — Service 
activities include counseling, information ; 
instruction, and t e chnical assistanc e with th e 
goals of preventing dysfunction and promot 
ing well being. 
"Privileging" moans a process by which each 



staff m e mber' s cr e d e ntials, — training — and 
experience ar e e xamin e d and a determinatio n 
made as to which — troatment/habilitation 
modalities ho is qualified to provide. 

(59) "Program Evaluation" m e ans th e t e rm as 

defined in 10 NCAC HK .0103. 

(60) "Psychiatric Nurse" moans the term as do 

fined in 10 NCAC HK .0103. 

(61) "Psychiatric Social Work e r" m e ans th e t e rm 



as d e fin e d in 10 NCAC HK .0103. 
(62) "Psychiatrist" means tho term as defined in 

10 NCAC HK .0103. 
(63) "Psychoth e rapy" m e ans the term ao defin e d 

in 10 NCAC HK .0103. 
(6 4 ) "Psychotropic Medication" moans the term 

as defined in 10 NCAC 1 4 K .0103. 
(65) "Qualifi e d Alcoholism Prof e ssional" m e ans 



th e t e rm as defin e d in 10 NCAC HK .0103. 
"Qualified Client Record Manager" moans an 



individual who is a graduate of a curriculum 
accr e dited by the Council on M e dical Eduoa 
tion and Registration of th e Am e rican M e di 
eal Record Association and who i s currently 
registered or accroditod by the American 
M e dical R e cord Association. 

(67) "Qualifi e d Drug Abus e Professional" moans 

tho torm as defined in 10 NCAC 1 4 K .0103. 
"Qualified — Mental — Health — Professional " 



m e an s th e t e rm as d e fin e d in 10 NCAC HK 
"Qualified Mental Retardation Professional" 



means the same as the term "Qualified dovel 
opm e ntal disabiliti e s prof e ssional" as definod 
in 10 NCAC HK .0103. 
"Qualified Nutritionist" mean s tho torm a s 



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10 NCAC HK .0103. 

"Research" moans tho torm as definod in 10 



NCAC 1 4 K .0103. 

"Research R e vi e w Board" moans a group 



compris e d of at l e ast five m e mb e rs which 
has the authority to approve, require modifi 
cation, — or disapprove — proposed — rosea rch 
proj e cts of th e area program or its contract 
agencies. — Individuals not directly associated 
with research projects under consideration 
comprise a majority of the review board. 
Th e r e vi e w board may bo establish e d by th o 
program conducting research activiti e s or by 
another public or private ag e ncy, institution 
or organization. 

"R e sid e ntial S e rvice" moans a s e rvice pro 
vid e d in a 24 hour living e nvironm e nt in a 
non hospital setting where room, board, and 
supervision are an integral part of the care, 
treatment, habilitation or r e habilitation pro 
vid e d th e individual. 

(77) "Respite episode" moan s the term as definod 

in 10 NCAC HK .0103. 

"Scr ee ning" m e ans th e t e rm as d e fin e d in 10 

NCAC HK .0103. 

"Service" means tho term as defined in 10 



NCAC 1 4 K .0103. 

"S e v e rely Physically Disabl e d P e rson" m e ans 



for th e purpos e of ADAP (Adult D e v e lop 
mental Activity Program) tho torm as definod 
in 10 NCAC 1 4 K .0103. 
"Standard Cli e nt Record" m e ans a writt e n 



account of all se rvic e s provid e d a client from 
the timo of formal admission of tho client by 
the area program or contract agency until 
discharge. — This information is docum e nt e d 
on standard forms which ar e fil e d in a Stan 
dard order. 
"Standards" — means — specifications — of the 



defined in 10 NCAC HK .0103. 



r e quired basic l e v e ls of activity and required 
basic levels of human and technical r e sources 
necessary for the implementation and opera 
tion of mental health, mental retardation and 
substance abuse programs. — Standards ar e 
officially titl e d "Standards for Area Programs 
and Their Contract Agencies", are codified 
in 10 NCAC 181 through 18Q and arc pub 
lish e d by tho Divi s ion a o APSM 35 1 . 

( 8 3) "Stat e Facility" m e ans a facility op e rat e d by 

the Division and which provides mentai 
health, mental retardation or substance abuse 



540 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



services. 
( 8 4) "Student" m e ans an individual who io partioi 

pating in a prescrib e d cours e of instruction. 

for example, an individual who is enrolled in 

on alcohol and drug education traffic school 

or a drug e duoation school. 
-(S5) "Substantially M e ntally R e tard o d Person" 

means the term as defined in 10 NCAC 14K 

r©403r 

( 8 6) "Support S e rvic e s" mean s th e t e rm au de 



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finod in 10 NCAC 14K .0103. 
"Telephone Counseling Service" means an 



organized and publicized service providing 
short t e rm supportiv e couns e ling, r e f e rral, 
crisis intervention and information -r 

( 8 8) "Testing Services" means tho administration 

and interpretation of the results of standard 
ia e d instrum e nts for tho assessm e nt, diagno 
sis or e valuation of psychological or develop 
mental disorders. 
"Toddler" means the term as defined in 10 



for implementation of area program services. 

Statutory Authority G.S. 122C-115; 122C-118: 122C-132; 
122C-143; 143B-147. 

.0111 AREA BOARD 

— Each ar e a board shal l b e organiz e d and shall carry out its 
functions in accordance with the provisions of Chapter 122C of 
the General Statutes of North Carolina. 

Statutory Authority G.S. I22C-U5: 122C-118; 122C-H9: 
143B-147. 

.0112 AREA BOARD EDUCATION 
AND TRAINING 

— Each area program s hall provide orientation and training for 
e ach member of tho area board. 



Statutory Authority G.S. 
143B-147. 



122C-11?; 122C-IIS; I22C-119; 



NCAC 14K .0103. 
(90) "TroatmentThabilitation plan" m e ans th e t e rm 



01 13 AREA BOARD OPERATION POLICIES 

— (*) — Th e ar e a board shall adopt policies governing the 
as defined in 10 NCAC 1 4 K .0103. operation of the area program con s i s tent w i th the General 

"Twenty four hour service" means the term Statutes of North Carolina including Chapters 122C. 126, 1 4 3 
as d e fin e d in 10 NCAC 14K .0103. and 159; with appropriat e standards contain e d in 10 NCAC 181 

"Utilization R e v ie w" m e ans e xamination of through 1 8 Q and with oth e r r e gulations affecting area programs 



the appropriateness of admission, services 
ordered and provided, length of treatment 
and discharge practic e usually on a concur 
r e nt basis. — Utilization revi e w focus e s upon 
the individual client. 

-S, 



which are adopted by the Division director or commission. 
— (b) The area board shall adopt a policy . plan or procedure as 
r e quir e d in 10 NCAC 18J .0700 Quality Assuranc e and 10 
NCAC 18L Program Compon e nt Op e rational Standard s . 



Vocational Rehabilitation Services" moans Statutory Authority G.S. 122C-118; 122C-119; 143B-147. 



s e rv i c e s availabl e to e ligibl e m e ntally and 



.0114 



ORGANIZATION OF POLICIES 
AND PROCEDURES 



physically disab le d citiz e ns who, with r e ason 

able accommodations, can perform tho osson 

tial function of the job in question as defined 

in th e R e habilitation Act of — 1973 (P.L. proc e dur es duly adopt e d by th e ar e a board or manag e m e nt 

93 1 12 as am e nd e d). 



-t») Each area program s hall maintain all policies and 



-fb) — In addition to the definitions contained in this rule, the 
terms defined in G.S. 122C 3 al s o apply to al l tho rule s in thi s 
Subchapt e r and Subchapt e rs 1 8J through 1 8 Q of this Chapt e r. 

Statutory Authority G.S. 122C-3; 143B-147. 

SUBCHAPTER 18J - AREA PROGRAM 
MANAGEMENT STANDARDS 



SECTION .0100 - AREA BOARD 
ORGANIZATION/RESPONSIBILITIES 



inc l uding those requir e d of th e ar e a program a s s p e cifi e d i n th e 
standards. 

(b) — The pol i cies and procedure s s hall be maintained in an 
ind e x e d, organiz e d mann e r. 



Statutory Authority G.S. 122C-118; 122C-119; 143B-147. 

.0115 OPEN MEETINGS 

Each ar e a board shall comply with the North Carolina op e n 
meeting s law. G.S. 1 4 3 318.9 through 1 4 3 318.18. 

Statutory Authority G.S. 143B-147. 



.0110 SCOPE 

The area board i s comprised of a group of indiv i duals 
appoint e d by tho county commission e rs to serv e as th e gov e rn 
ing body of th e ar e a authority. — Primary r e sponsibiliti e s of th e 
area board are to roviow and evaluate area needs and programs, 
to dovolop an annual p l an and budget, and to establish policies 



.0116 MINUTES OF AREA BOARD 
MEETINGS 

— Minut e s of e ach official mooting of th e ar e a 
p e rman e ntly maintain e d and shall includ e : 

— (+) date, time and place of meeting; 

— (2-) members attending and absentees; 



board shall b <? 



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541 



PROPOSED RULES 



— f3-) decisions reached and actions taken including sup ped 

ing documentation; and 
—(4} reports submitt e d by th e ar e a director or oth e r 

program reports. 

Statutory Authority G.S. 122C-118; 122C-U9; 143B-147. 

.0117 DISTRIBUTION OF STANDARDS 

— f#) — Each area program shall di s tribute to each of its area 
op e rated and contract compon e nts a copy of applicabl e portion s 
of th e standards and shall also distribut e all applicable revisions 
to the standards as they occur. 

— (-W — Each area program shall di s tribute to each of its area 
op e rated and contract components a copy of applicable interpre 
tations of standards and a copy of division regulations as th e s e 
interpretations and regulations are issued by the Division. 

Statutory Authority G.S. 143B-147. 

.01 18 EXCEPTIONS TO STANDARDS 

— fa-) — Each appeal to the Commission for an exception to a 
standard in b e half of th e area program or its contract ag e ncy 
shall b e mad e by the ar e a board. 

— lb) Appeals for exceptions shall be made under the provisions 
of G.S. 122C 1 4 1 (Provision of Services) and 122C 1 4 5 
(App e al by aroa authoriti e s) and according to th e rul e s codifi e d 
in 10 NCAC MB .0300 CONTESTED CASES (division 
publication APSR 10 2). adopted in accordance with G.S. 
150B 1 4 (c). 

Statutory Authority G.S. 122C-141; 122C-145; 143B-147. 



,0213 COMPLIANCE WITH DIVISION 
REGULATIONS 

— Each aroa program shall comply with all applicable portions 
of the D ' 11: — 1 4 3B 1 4 7; division's rules relating to fiscal 
manag e m e nt as codifi e d in 10 NCAC HC Sections .1000 and 
. 1 100 and 10 NCAC HD .0006 and contain e d in S e ction 25 of 
the — "Area — Program — Budgeting and — Procedures — Manual" 
(division publication APSM 75 1). 

Statutory Authority G.S. 122C-147; 143B-147. 

SECTION .0300 - REQUIRED AREA 
PROGRAM STAFF 

.0304 SCOPE 

— Professional staff, who have completed the educational 
training for the responsibilities they assum e , ar e th e foundation 
of th e provision of quality s e rvic e s for clients s e rv e d by the aroa 
program. Quality programming is dependent, to a largo extent, 
on the availability of key professionals sufficient to moot the 
needs of th e cli e nt population. — Th e standards in this Section 
d e lin e at e th e minimum prof e ssional staff requir e d for e ach area 
program. 



Statutory Authority G.S. 122C-3; 
122C-154; 122C-155; 143B-147. 



122C-U7; 122C-121; 



.0305 PSYCHIATRIST 

— Each ar e a program s hall e mploy or contract for th e s e rvic e s 
of at l e ast on e psychiatrist. 



.01 19 APPEALS PROCEDURES FOR 
CONTRACT PROVIDERS 

— fa-) — Pursuant to G.S. 122C 151.3. an area authority shall 
e s tabli s h written procedures for the resolution of disputes 
regarding decisions of an area authority with the following as 
s p e cifi e d in G.S. 122C 151.1(c): 

(4-) a contractor or a form e r contractor; or 

(2-) a client or a person. 

(b) Decisions may be appealed to the j\roa Authority ' Appeals 
Pan e l as se t forth in Section .0 8 00 of this Subchapt e r. 



Statutory Authority G.S. 122C-3; 122C-117; 122C-121; 
122C-154: 122C-155; 143B-147. 

.0306 LICENSED PRACTICING 
PSYCHOLOGIST 

— Each area program shall employ or contract for th e services 
of at l e ast on e lic e ns e d practicing psychologist. 

Statutory Authority G.S. 122C-3; 122C-117; 122C-121; 
122C-154; 122C-155; 143B-147. 



Statutory Authority G.S. 122C-1 12(a); 122C-151.4. 



SECTION .0200 - FISCAL SERVICES 



.0307 PSYCHIATRIC NURSE 

— Each area program shall employ or contract for the services 
of at least one psychiatric nurs e . 



.0212 SCOPE 

The area program's accurate receipt and disbursement of 
local, stat e and f e d e ral funds, in accordanc e with r e quir e m e nts 
for us e of th e s e funds, is e ss e ntial to th e planning and impl e 
mentation of area program activities. The management of fiscal 
re s ponsibilities, in accordance with generally accepted account 
ing principl e s, is inh e r e nt in an area program' s operation. — T4»e 
standards in thi s S e ction apply to ar e a programs only. 

Statutory Authontx G.S. 122C-144; 143B-147. 



Statutory Authority G.S. 122C-3; 122C-117; 122C-I2I; 
122C-I54; 122C-155; 143B-147. 

.0308 PSYCHIATRIC SOCIAL VVORHR 

— Each area program s hall employ or contract for the s ervices 
of at lea s t one p s ychiatric social worker. 

Statutory Authority G.S. 122C-3; 122C-117; 122C-121: 
122C-154; 122C-155; I43B-147. 



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10:7 



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.0309 CERTIFIED ALCOHOLISM/DRUG 
ABUSE/SUBSTANCE ABUSE 
COUNSELORS 

By January 1. 1985 each aroa program shall employ or 
contract for tho services of at loast ono oortifiod alcoholism 
counselor and at least ono certified drug abus e couns e lor, or at 
least on e certifi e d substance abus e couns e lor. 

Statutory Authority G.S. 122C-3; 122C-U7; 122C-121; 
122C-154; 122C-155; 143B-147. 

.0310 QUALIFIED MENTAL RETARDATION 
PROFESSIONAL 



(b) This agreement shall define specific roles and rcsponsibil 
iti e s of e aoh party for th e provision of services to tho catchment 
area population. 

Statutory Authority G.S. 122C-132; 122C-143; 143B-147. 

.0604 RESIDENTIAL POPULATION: GROUP 
HOMES FOR MR/DD ADULTS 

—(e) — Each aroa program shall assure that at least ono half of 
th e total resid e nt population of all group homes for m e ntally 
r e tard e d/d e v e lopm e ntally disabled adults in its catchm e nt area 
is comprised of individuals who immediately prior to their 
admission te — a group home fef mentally re- 



Each area program shall e mploy or contract for the servio e o tard e d/d e v e lopmentally disabl e d adults w e r e : 



of at l e ast one qualified m e ntal r e tardation prof e ssional. 

Statutory Authority G.S. 122-C-3; 122C-U7; 122C-121; 
122C-154; 122C-155; 143B-147. 

.0311 QUALIFIED CLIENT RECORD 
MANAGER 

Eaoh area program shall e mploy or contract for tri e s e rvic e s 
of at l e ast ono qualifi e d client record manag e r. 

Statutory Authority G.S. 122C-3; 143B-147. 

SECTION .0600 - STATE FACILITY 
RELATIONSHIPS 

.0601 SCOPE 

Th e s e rvices provid e d by state facilities, including psychiatric 



-f4-) r e sidents of a etato mental retardation c e nt e r, a stat e 

psychiatric hospital, a group home for children who 
are mentally retardod/devclopmcntally disabled, a 
s p e cialized community' re s id e ntial c e nt e r for ohil 
dren who ar e m e ntally retarded, a group home for 
individuals — whe — are — mentally — retarded — and 
bohaviorally disordered, or a certified ICF/MR 
facility: 

-f2) continuity of car e cli e nts as d e fin e d — in G.S. 

122C 63: or 

-f3-) clients who had been processed and approved for 

admission to a stat e facility. 



(b) Th e ar e a program may b e e x e mpt from th e requir e m e nts 
in Paragraph (a) of this Rule if it is determined and approv e d in 
writing by tho Division's Chief of Developmental Disabilities 
that th e r e is not a suffici e nt numb e r of cli e nts within the 
catchm e nt ar e a who fall within th e categori e s listed in Paragraph 
hospitals, mental retardation corners, alcoholic rehabilitation (a) of this Rule to enab l e tho aroa program to comply with the 



centers and facilities for treatment and education of omotionally 
disturb e d children, as w e ll as thos e provid e d by area programs 



requirements of this Rule. 

— fe) — Each area program shall maintain a writt e n record 



and th e ir oontraot agencies, are an e ss e ntial part of th e oontin indicating which cli e nts in its ar e a op e rat e d or contract group 



uum of services available for area program clients. — Effective 
relationships among state facilities, area programs and their 
contract ag e nci e s promote continuity of s e rvic e for an individual 
cli e nt pr e ceding, during and following his admission to a stat e 
facility. The standards in this Section apply to area programs 

Statutory Authority G.S. 143B-147. 

.0602 SINGLE PORTAL OF ENTRY AND 
EXTT DESIGNATION 

Each ar e a authority desiring d e signation as a singl e portal ar e a 
shall comply with tho roquiromenta of G.S. 122C 132. 

Statutory Authority G.S. 122C-132; 143B-147. 

.0603 WRITTEN AGREEMENTS WITH 
STATE FACILITIES 

— fft) — Each area program shall negotiat e a writt e n agre e m e nt 
with eaoh stat e psychiatric hospital, m e ntal retardation c e nt e r, 
and alcoholic rehabilitation center serving its geographic aroa 
except tho North Carolina Special Care Center in Wilson. 



homes for mentally retarded/developmentally disabled adults fall 
within the categories listed in Paragraph (a) of this Rule. 

Statutory Authority G.S. 122C-63; 143B-147. 

SECTION .0700 - QUALrTY ASSURANCE 

.0701 SCOPE 

The s tandards in this Section apply to area programs with the 
exception of Standards .0708. .0700, .0710, .0711, and .0712 
which apply to compon e nts of area programs. 



Statutory Authority G.S. 122C-2; 122C-101; 
122C-118; 122C-132; 122C-191; 143B-147. 



122C-117; 



.0702 QUALrTY ASSURANCE PLAN 

— {tt) — Eaoh area program shall e s tabli s h and implement a 
written quality assurance plan which shall describe how quality 
assuranc e activitie s will be carri e d out in th e ar e a program and 
its contract ag e nci e s. 

— (b) Quality assurance activitie s doomed e ss ential by tho area 
program for contract agencies shall be addressed in the contract. 



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543 



PROPOSED RULES 



These activities shall bo spelled out in tho contract and mny be 
accomplished oithor ao an intogml part of the area program plan 
or by tho contract agonoy itself. 

(c) Tho plan shall bo reviewed annually by tho area program 
and revised if necessary. 

(d) Tho plan and any subsequent revision shall b e approv e d 
and signod by tho ar e a board chairman. 

Statutory Authority G.S. 143B-147. 

.0703 QUALITY ASSURANCE COMMITTEE 

—fa-) — Each area program shall have a quality assurance 

committee. 

— fb) — Tho purpose, scope and organization of th e quality 

assurance committoo shall bo specifi e d in th e quality assuranc e 

Statutory Authority G.S. 143B-147. 

0704 COMPOSITION AND ACTIVITIES OF 
QUALITY ASSURANCE COMMITTEE 

(a) Th o quality assuranc e committo o s hall b e compris e d of 
r e pr e s e ntation from e ach of tho disability s e rvic e areas, th e 
cl i ent record managor. a representative of area administration 
and may include representative s of contract agencies. — Commit 
t ee m e mbers shall also includ e a nurs e , a psychologist, a 
physician and a social work e r. 

(b) Ono of the quality assurance committoo members who has 
direct trcatmcnt/habilitation responsibilities shall servo as the 
committ ee chairperson. 

(o) A m e mb e r of th e quality assuranc e committ ee shall not 
review his own olionto' troatmcnt/habilitation records. 

(d) Minutes of meetings shall be recorded and shall include 
dat e ; time: att e nd ee s and absent ee s; and a summary of th e 
busin e ss which was conduct e d. — Minut e s shall b e rev i ewed by 
the area board and signed by tho area board chairman. 

Statutory Authority G.S. 143B-147. 

.0705 CLIENT CARE EVALUATION 
STUDIES 

Th e quality as s uranc e committoo shall ensure that at least two 
client car e e valuation studi e s of issu e s r e l e vant to th e improv e 
ment of services to clients are comp l eted during each fi s cal 

Statutory Authority G.S. 143B-147. 

.0706 RECORD REVIEW 

Each quality assuranc e committ ee shall e stablish, impl e m e nt 
and docum e nt th e crit e ria, procedur e and methodology for cli e nt 
record review s for completeness and adequacy as delineated in 
10 NCAC 1 8 L Section .0500; Client Records; and 10 NCAC 
1 8 L .0603 S e rvic e Purpos e And Eligibility R e quir e m e nts. 

Statutory Authority G.S. 143B-147. 



.0707 UTILIZATION AND PEER REVTEW 

Each quality assuranc e oommitt ee shall establish, implement 
and docum e nt th e orit e ria, proc e dure and m e thodology for 
utilization and poor review. 

Statutory Authority G.S. 143B-147. 

.0708 CLFNICAL SUPERVISION OF 
MENTAL HEALTH STAFF 

(a) Each compon e nt shall impl e ment a written plan of olinioal 
sup e rvision for staff who ar e not qualifi e d m e ntal health 
professionals and who provide mental health clinical services. 

(b) Each cluneal staff member who is not a qualified montal 
h e alth professional shall hav e an individual plan of olinioal 
sup e rvision. 

(c) Each staff member who provides montal health clinical 
services and who is not a qualified mental health professional 
shall b e s upervis e d by a qualifi e d m e ntal h e alth prof e ssional. 

Statutory Authority G.S. 122C-117; 122C-121; 122C-154; 
122C-155; 143B-147. 

,0709 CROSS-REFERENCE TO CLINICAL 
SUPERVISION OF SUBSTANCE 
ABUSE STAFF 

— fa-) — For thos e s e rvic e s not subj e ct to lic e nsur e und e r G.S. 

122C. Articl e 2, olinioal supervision of substano e abus e staff 

shall be implemented according to the provisions of 10 NCAC 

UK .0319(b) (3), ( 4 ) and (5). 

— fb) — For purpos e d of th e rul e s of this Section, tho term 

"facility" in 10 NCAC 14K .0319 shall b e int e rpr e t e d to m e an 

"component". 

Statutory Authority G.S. 143B-147. 

.0710 PROFESSIONAL SUPERVISION OF 
MENTAL RETARDATION STAFF 

— Each staff m e mb e r of a m e ntal retardation oompon e nt who is 
not a qualifi e d montal retardation professional shall b e sup e r 
vised by, or have access to the professional supervision of, a 
qualified mental retardation professional. 

Statutory Authority G.S. 122C-117; 122C-121; 122C-154; 
122C-155; 143B-147. 

.071 1 PRTvTLEGPNG OF ALL PROFESSIONAL 
STAFF 

—fa) — Each component shall implement written policies and 

procedures by which the qualifications of each professional are 

e xamin e d and a determination mod e as to tr e atm e nt/habilitation 

privil e g e s grant e d and supervision needed. 

— (b) Delineation of privileges shall be based on documented 

verification of the individual's competence, training, experience 

and lic e nsure. 

— fe) — Th ese polici e s and proc e dures shall b e r e vi e w e d and 

approved by the area program's quality assuranoe committee. 

(d) In addition to (a), (b) and (c) of thi s Rule, professional s 



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PROPOSED RULES 



presiding hnbilitation and family support services to infants and 
toddloro with or at riok for developm e ntal d e lays or atypioal 
development and their famili e s shall b e privil e g e d aooording to 
the procedures outlined in the Division's REGULATIONS FOR 
PRIVILEGING — PROFESSIONALS WORKING — WITH 
INFANTS AND TODDLERS WTTH OR AT RISK FOR 
DEVELOPMENTAL DELAYS OR ATYPICAL DEVELOP 
MENT. APSM 120 1 (4/1/ 8 9). This manual is adopted by 
reference in accordance with G.S. 150B 1 4 (c). 



Authority G.S. 
1471. 



122C-117; 122C-155; 143B-147; 20 U.S.C. 



.0712 CROSS-REFERENCE TO EMPLOYEE 
EDUCATION AND TRAINING 

— (*) — Each component not subject to licensure under G.S. 

122C. Article 2 shall comply with the provisions of 10 NCAC 

14K .0307. 

— (b) — For purpos e s of the rul e s of this Section, th e t e rm 

"facility" in 10 NCAC 1 4 K .0307 shall be interpreted to moan 

"component". 

Statutory Authority G.S. 143B-147. 

.0713 PROGRAM EVALUATION ACTIVITIES 

— (a) Each ar e a program shall implem e nt program e valuation 

activiti e s. 

— fb) — These activities shall reflect the evaluation of program 

quality, effectiveness and efficiency in such areas as: 

(4) th e impact of the area program in reducing inappro 

priat e institutionalization; 

(2-) effectiveness of consultation and education services; 

(3) impact of services upon the residents of the service 



-*44- 



45V 



availability, awar e n e ss, acc e ptability and aco e coibil 

ity of services; 

patterns of use of service; and 



-Wr- 



cost of area program op e ration. 



Statutory Authority G.S. 143B-147. 

.0715 CORRECTIVE ACTION 

— Each area program shall ensure that corrective action is taken 
to address problems found through the quality assurance 
process. 

Statutory Authority G.S. 143B-147. 

SECTION .0800 - ESTABLISHMENT OF AN 
AREA AUTHORITY APPEALS PANEL 

.0801 PURPOSE, SCOPE AND DEFINITIONS 

(a) Th e purpos e of th e rul e s in this S e ction i s to s p e cif)' th e 
procedures for app e als to th e area authority as s e t forth in G.S. 
122C 151. 4 . 

— fb) — These Rules apply to any client, contractor, former 
contractor, or person as d e fined in G.S. 122C 151. 4. 
— fe) — Th e t e rms us e d in this S e ction shall hav e th e sam e 
meanings as provided in G.S. 122C 151.4. 

Statutory Authority G.S. 122C-1 12(a); 122C-151.4. 

.0802 AREA AUTHORITY APPEALS PANEL 

—(ft) — Pursuant to G.S. 122C 151. 4 (b), the Area Authority 
App e al s Pan e l, h e r e aft e r ref e rred to as "th e Pan e l," shall 
consists of thr ee m e mb e rs. 
— (b) Und e r authority delegated by the Secretary, the members 

(4) b e appoint e d by th e Division Director and s e rv e at 

th e pl e asur e of th e S e cr e tary; and 
(2) have education and experience relevant to the 

appeals process, as determined by the Division 

Dir e otor. 
—(e) — Th e Division Dir e otor shall appoint th e Chair of th e 
Panel. 

— (d) Clerical support for the Panel shall bo provided by the 
Division. 



Statutory Authority G.S. 143B-147. 



.0714 



QUALITY ASSURANCE ANNUAL 
REPORT 



Statutory Authority G.S. 122C- 112(a); 122C-151.4. 

.0803 APPEALS PROCEDURES 

(a) Appeals of the decision of local area authoriti e s shall be 
— Each area director shall submit a written annual report to the forwarded, — along — with — all — supplementary — documentation 
area board summarizing th e activities and recommendations of considered during the local area appeals process, to the Divi s ion 
th e quality assuranc e oommitt ee and oth e r r e lated committees Dir e otor within 14 days of th e local decision b e ing r e nd e r e d, 
regarding th e quality of s e rvic e s provid e d by th e area program 
and its contract agencies. — This report shall include at a mini 
mum the following functional areas: 

(1) cli e nt care e valuation studi e s; 

(2) r e cord revi e ws; 



43) utilization and peer reviews; 

44) clinical supervision; 






privil e ging of prof e ssional staff; 

e mploy ee e ducation and training activities; and 

the results of program evaluation. 



— (b) Th e Division Direc t or s hall forward all information to th e 
Chair of the Panel within five working days. 

(c) The Panel shall complete an administrative review and 
notify th e app e aling party and th e ar e a program of its d e cision. 
in writing, within 14 days of r e c e ipt of th e app e al. — Unl e ss 
further appealed within 1 4 days of the date of this decision, this 
decision shall be considered final. 

— (d) Eith e r party nam e d in the appeal may r e que s t a h e aring 
by th e Panel before th e Pan e l's administrativ e d e cision is 
considered to be final, by submitting a written reque s t to the 
Chair of the Panel, within 14 days of the date of the administra 



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PROPOSED RULES 



t i vc review decision. 

(o) A hoanng shall bo scheduled by tho Pan e i no more than 
30 dnyo after a written requ e st for a h e aring is rec e iv e d by th e 
Chair. 

— ff) — The hearing shall be scheduled at a time and place 
designated by tho Chair. 

(g) — The appealing parts 1 and the ar e a program shall b e 
notified of the time and place of the hearing no less than \A 
days prior to the hearing. 

Statutory Authority G.S. 122C-1 12(a); 122C-151.4. 

.0804 HEARING PROCEDURES 

(a) Th e Chair of the Pan e l: 

(+) will convene th e mooting at th e prearrang e d tim e 

and place: 
(2} may afford the opportunity for rebuttal and sum 

mar) 1 comm e nts to e ith e r of th e pres e nting parties; 
f3-) may limit th e total numb e r of persons pres e nting 

for the appellant and appellee; and 
f4-t may impose time limits for presentations. 

(b) Th e official repres e ntative of th e appellant and app e ll ee 
stalk 

(-B specify by name and position all individuals who 

will be present for the hearing; 
f3) provide th e Panel with any r e qu e st e d informati em 

(-3-) if appropriate, ensure that a representative of the 

appellant and appellee will be available at the 
hearing to make a presentation. 

(o) Any m e mber of th e Pan e l may address qu e stions to th e 
representatives of the appellant or of the appellee. 
— (-d-) — All persons present at the appeal will address only the 
Chair or a sp e cific m e mb e r of th e Pan e l who has address e d a 
sp e cific question to that individual. 

— (c) Direct exchanges between presenters for the appellant and 
the appellee shall be prohibited. 

(f) Th e Panel may obtain any form of t e chnical assistanc e or 
consultation r e l e vant to th e app e al. 

Statutory Authority G.S. 122C- 112(a); 122C-151.4. 

.0805 PANEL DECISIONS 

(a) The Panel shall vote in open session on each specific item 
being appealed. 

(b) — Within five working days, e ach d e cision shall b e con 
v e y e d in writing to th e app e aling part) ' and th e ar e a authority. 

(c) — Any decision may be rescheduled for a subsequent 
meeting if the Panel determines that it lacks sufficient informa - 
tion to r e nd e r a decision at the initial hearing. 
— (d-) — In all oas e s a final d e cision shall b e rend e r e d within 30 
day s of the written request for a hearing. 

Statutory Authority G.S. 122C- 112(a); 122C-151.4. 

SUBCHAPTER 18K - CONTRACT AGENCY 
MANAGEMENT STANDARDS 



SECTION .0100 - GOVERNING BODY 
ORGANIZATION 

.0109 PNTRODUCTION 

Each contract agency of an area program is responsible to a 
governing body that by law. charter, articles of incorporation. 
partn e rship agreement or oth e r l e gally recogniz e d manner has 
full l e gal authority and responsibility for its ov e rall operation. 
Primary responsibilities of the governing body of the contract 
agency — are to establish policies for implementation of the 
contract ag e ncy's s e rvic e s and to adopt an op e rating budg e t for 
the ag e ncy. — Th e standards in this Section apply to contract 
agencies only. 

Statutory Authority G.S. 55-3; 55A-3; 115C-36; 143B-147. 

.0110 OPERATLNG AUTHORITY 

The governing body of a contract agency shall have evidence 
of its legal authority to operate the service for which the area 
program is contracting. 

Statutory Authority G.S. 55-7; 55A-7; 115C-40 115C-47; 
143B-147 

0111 COMPLIANCE WITH QUALITY 
ASSURANCE STANDARDS 

Each contract agency shall comply with 10 NCAC 18J .070 8 . 
.0709, .0710. .0711 and .0712. 



Statutory Authority G.S. 143B-147. 



.01 12 MINUTES OF GOVERNOR BODY 
MEETINGS 

Minutes of each official meeting of the gov e rning body s hall b e 
p e rman e ntly maintain e d and shall includ e th e following: 

(-B date, time and place of meeting; 

(-2-) members att e nding and absentees; 

(3^ decisions reach e d and actions tak e n including 



-(4)- 



supporting docum e ntation; 

reports submitted by members of tho govern 



ing body; and 

(-5) r e ports submitt e d by th e e x e cutiv e dir e ctor 

or oth e r program r e ports. 

Statutory Authority G.S. 55-37; 55A-27; 115C-3; 143B-147. 

.0113 CONTRACT AGENCY OPERATION 
POLICY 

The governing body of a contract agency shall adopt a policy- 
plan or procedur e a s requir e d in 10 NCAC 18J .070 8 . .0709. 
.0710. .071 1 and .0712 in accordanc e with th e provisions of 10 
NCAC 1 8 1 .01 15. 10 NCAC 18J .0702(b) and as requir e d in 
10 NCAC 18L Program Component Operational Standards. 

Statutory Authority G.S. 143B-147. 

.0114 PERSONNEL POLICIES AND 



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PROCEDURES 

The governing body of a contract ag e ncy ohall establish writt e n 
personnel polici e s and procedures which shall includ e at l e a s t 
the adoption of job descriptions for personnel, salary schedul e 
and an organizational chart. 

Statutory Authority G.S. MSB- 147. 

,0115 ORGANIZATION OF POLICIES 
AND PROCEDURES 

-fa) — Each oontroet ag e ncy ohall maintain all polici e s and Statutory Authority G.S. 122C-23; 143B-147. 



format specified by the Division, 
Statutory Authority G.S. 143B-147. 

SECTION .0300 - FACILITIES MANAGEMENT 
0331 SCOPE 



The standards in thi s Section apply to each component 
area program and its contract agencies. 



ef-the 



procedures duly adopted by the contract ag e ncy and its govern 
ing body including those required by the contract agency as 
specified in the standards. 

-fb) — Th e polici e s and proc e dur e s shall b e maintained in an 
ind e x e d, organized mann e r. 



Statutory Authority G.S. 143B-147. 

.0116 OPERATING BUDGET 

Th e gov e rning body shall adopt an annual op e rating budg e t for 
each program component for which it contracts with the area 
program. 

Statutory Authority G.S. 143B-147. 

SUBCHAPTER 18L - PROGRAM COMPONENT 
OPERATIONAL STANDARDS 

SECTION .0100 - LICENSURE 

.0107 SCOPE 

Th e standards in this S e ction apply to e ach compon e nt of th e 
area program and its contract agencie s s ubject to licensure. 

Statutory Authority G.S. 122C-23: 143B-147. 

.0108 LICENSURE OF AREA OPERATED/ 
CONTRACT AGENCY FACILnTES 

— Each facility subj e ct to lic e nsur e ohall b e licen s ed by th e 
appropriat e s tat e ag e ncy. 

Statutory Authority G.S. 122C-23; 143B-147. 

SECTION .0200 - STATISTICAL RECORDS 

.0223 SCOPE 

Th e s tandard s in thi s S e ction apply to e ach compon e nt of th e 
area — program and — its — contract — ag e ncies — unl e ss — oth e rwis e 
specified in individual s tandards in thi s Section. 

Statutory Authority G.S. 143B-147. 

M2A DATA REQUIREMENTS FOR AREA 
OPERATED/CONTRACT AGENCIES 

— Each ar e a program and its contract ag e nci e s shall provid e to 
th e Division s tati s tical data for e ach component in the required 



.0332 COMPLIANCE WITH APPLICABLE 
CODES 

— Each compon e nt ohall maintain docum e nt e d e vid e nc e of th e 
component's compliance with applicable fire, sanitation and 
building code s including an annual fire inspection. 

Statutory Authority G.S. I22C-23; 143B-147. 

.0333 CROSS-REFERENCE TO PNDOOR 
LIVING SPACE 

— Each r e sid e ntial and r e spit e facility not subject to licen s ure 
under G.S. I22C. Article 2 shall comply with the provisions of 
10 NCAC I 4 K .0 4 8 . 



Statutory Authority G.S. 143B-147. 

.0334 CROSS-REFERENCE TO OUTDOOR 
ACTrvTTY SPACE/EQUTPMENT 



— Each facility not s ubj e ct to lic e nsure und e r G.S. 122C. Articl e 
2 s hall comply with the provisions of 10 NCAC MK .0326. 

Statutory Authority G.S. 143B-147. 

.0335 MAINTENANCE OF FACILrTY 

Each facility ohall bo clean and well maintained. 

Statutory Authority G.S. 143B-I47. 

.0336 FURNISHINGS OF FACILITY 

— Furni s hing s , e quipm e nt and mat e rials for indoor activity and 
r e c e ption areas and outdoor activity ar e a s shall b e se l e ct e d in 
accordance with the ages, interests, skills and disabilities of the 
client served. 

Statutory Authority G.S. 143B-147. 

.0338 CROSS-REFERENCE TO PHYSICAL 
EXAMS/MEDICAL PROCEDURES 

Compon e nts not subj e ct to lic e nsure und e r G.S. 122C. Articl e 
2 performing physical examinationi? or medical procedure s s hall 
comply with the provi s ion s of 10 NCAC 1 4 K .03 4 0. 

Statutory Authority G.S. 143B-147. 

.0339 SPACE FOR CLIENTS WHO ARE ILL 



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OR INJURED 

Spao e ohnll bo designat e d for us e by cli e nts who b e oome ill or 
who ar e injur e d. 

Statutory Authority G.S. 143B-147. 

SECTION .0400 - CLIENT RIGHTS 

.0428 SCOPE 

Tho standards in this Section apply to e aoh component of the? 
aroa program and its oontraot agenci e s. 

Statutory Authority G.S. 122C, Article 3; 143B-147. 

.0429 CROSS-REFERENCE TO COMPLIANCE 
WITH STATUTES 

In addition to G.S. 122C. oaeh component not subject to 
licensur e und e r G.S. — 122C. Articl e 2 shall implement its 
serviced in ouch a mann e r ao to ensure th e rights aooorded all 
clients as required by tho following: 
— (4-) G.S. 13 ID, Articl e 3 (Domiciliary Home Residents' 

B i ll of Rights); 
— (3) G.S. 10 8 A, Articl e 6 (Prot e ction of th e Abus e d. 

Neglected or Exploited Disab l ed Adult Act); 
—0) G.S. 7A. Article 11 (Screening of Abuse and Neglect 

for Juv e nil e s); and 
— (4) G.S. I30A. Articl e 6 (Communicable Dis e as e s and 

Conditions). 

Statutory Authority G.S. 7A, Article 44; 108A, Article 6; 122C, 
Article 3; BOA, Article 6; BID, Article 3; 143B-147. 

.0430 NON-DISCRIMINATION POLICY 
FOR CLIENTS 

— Eaoh compon e nt shall comply with th e r e quir e m e nts sp e cifi e d 
in Title VI of the Civil Rights Act of 196 4 and Section 50 4 of 
the Rehabilitation Act of 1973. 

Statutory Authority G.S. 122C-51; 122C-62; 143B-147. 

.0431 CONFIDENTIALITY 

Eaoh compon e nt s hall — comply with — th e confid e ntiality 
f ogulations codifi e d in 10 NCAC 1 8 D (division publication 
APSM 4 5 1). 

Statutory Authority G.S. 122C-52; 122C-54; 122C-55; 
122C-141; 122C-142; 143B-147 

.0432 CROSS-REFERENCE TO CLIENT 
GRIEVANCE POLICY 

The governing body of e ach component not subj e ct to 
licensure under G.S. 122C. Article 2 s hall comply with the 
provisions of 10 NCAC 1 4 K .032 8 . 

Statutory Authority G.S. 143B-147. 

.0433 PROTECTION OF CLIENT RIGHTS 



— (a) Each area program shall develop and implement policy to 
assure th e prot e ction of cli e nt rights for cli e nts s e rved by the 
area program a s s pecifi e d in CLIENT RIGHTS IN COMMU 
NITY MENTAL HEALTH. DEVELOPMENTAL DISABILi 
TIES AND SUBSTANCE ABUSE SERVICES, APSM 95 2, 
and codifi e d in 10 NCAC MP through MS. 
— fb) — As r e quir e d by G.S. 122C 1<12, e ach ar e a program 1g 
responsible for assuring that any oontraot agency develops and 
implements policy in accordance with CLIENT RIGHTS IN 
COMMUNITY MENTAL HEALTH, DEVELOPMENTAL 
DISABILITIES AND SUBSTANCE ABUSE SERVICES, 
APSM 95 2. 

Statutory Authority G.S. 122C-6I through 122C-63; 143B-147. 

.0434 CLIENT RIGHTS COMMrTTEE 

(a) The area board shall retain ultimate responsibility for the 
assurance of client rights. 

— (b) Eaoh area board s hall e stablish at l e ast one Client Rights 
Committee, and may require that the governing body of a 
contract agency also establish a Client Rights Committee. — The 
ar e a board shall al s o d e v e lop and impl e m e nt policy which 
d e lin e at e s: 

(+> composition, size, and method of appointment of 

committee membership; 



■&- 



training and ori e ntation of committee members, 



(3) fr e qu e ncy of me e tings; 

f4) rules of conduct for meetings and voting procedures 

to bo followed; 
f§4 proc e dur e s for monitoring the eff e ctiv e n e ss of 

e xisting and proposed methods and procedur es for 

protecting client rights: 
(6-t requirements for routine reports to the area board 

regarding s e clusion, restraint and isolation time out; 

f7-) other operating procedures. 

(o) The area board established Client Rights Committee shall 
oversee, for ar e a op e rat e d s e rvic e s, th e implementation of th e 
following cli e nt rights prot e ction s : 
(4-) compliance with G.S. 122C, Article 3; 



-<3)- 



oompliance with the provisions of Division publica 
tions CLIENT RIGHTS IN COMMUNITY MEN 
TAL HEALTH. DEVELOPMENTAL DISABILI 
TIES AND SUBSTANCE ABUSE SERVICES, 
APSM 95 2 and CONFIDENTIALITY RULES, 
APSM 15 1, adopt e d in accordance with G.S. 
150B 1 . 1(o); and 

-fJ) establishment of a review procedure for any of the 

following which may be brought by a client, client 
a dvocat e , par e nt, legally re s ponsibl e p e rson, staff 
or oth e rs: 

(-A-) — client grievance s ; 

(-B) alleged violations of the rights of individuals or 

groups, including cas e s of alleged abuse, n e glect 
or e xploitation; 

fG) — concerns regarding the use of restrictive proce 

dures; or 



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(©) — failure to provide needed service s thai are avail 

able in the area program. 

Nothing herein stated shall b e int e rpreted to pr e 

elude or uourp the statutory authority of a county 
department of social services to conduct an investi 
gation of abuse, n e glect, or e xploitation or th e 
statutory authority of th e Gov e rnor's Advocacy 
Council for Persons with Disabilities to conduct 
investigations regarding alleged violations of client 
rights, 
(d) If th e area board r e quir e s a contract ag e ncy to e stablish 
a Client Rights Committee, the Committee shall carry out the 
provisions of this Rule for the contract agency. 
— fe) — Each Client Righto Committee shall b e compos e d of a 
majority of non area board members, with a reasonabl e e ffort 
made to have all disabilities equally represented. — Staff who 
serve on the committee shall not be voting member s . 

(f) The Client Rights Committ ee shall maintain minut e s of its 
meetings and shall fil e at l e ast an annual r e port of its activiti e s 
with the area board. Clients shall not be identified by name in 
either minutes, or written or oral reports. 

(g) — An ar e a program which contracts for s e rvice s s hall 
delineate in the servic e contract the authority of th e ar e a board 
Client Rights Committee and its relationship to the contract 
agency. The area board Client Rights Committee may review 
gri e vances r e garding incid e nts which occur within a contract 
ag e ncy after th e gov e rning body of the ag e ncy has r e vi e w e d th e 
incident and has had opportunity to take action. 

Statutory Authority G.S. 122C-64: 143B-147. 



ICD 9 CM Third Edition Volumes 1 and 2, P.O. 
Box 360121, Pittsburgh, PA 15250 6121, at a cost 

of forty thr ee dollars ($13.00 soft cov e r). 

ICD 9 CM Volume 3 is available from AMRA, 
P.O. Box 97319, Chicago, IL 60690, at a cost of 
twenty thre e dollars ($23.00). 
— (b) Each area program and ito contract ag e nci e s shall report 
diagnostic data to the Division as specified in the "Statistical 
Reporting Requirements to the Client Information Branch for 
Ar e a Program and Contract Ag e ncy Compon e nts" (division 
publication APSM 70 1). 

Statutory Authority G.S. 143B-147. 

,0513 CLIENT RECORD RETENTION 

— Each area program and its contract agenciea s hall comply with 
the requirements set forth in the "Records Retention and 
Disposition Sch e dul e " d e v e lop e d by th e North Carolina Divi s ion 
of Archiv e s and History, D e partm e nt of Cultural Resourc e s in 
conjunction with the Division (division publication APSM 10 3), 
adopted in accordance with G.S. 150B 1 4 (c). 

Statutory Authority G.S. 121; 132; 143B-147. 

SECTION .0700 - TREATMENT/HABILITATION 
PROCESS 

.0701 SCOPE 

The standards in this Section apply to each service of the area 
program and its contract ag e nci e s. 



SECTION .0500 - CLIENT RECORDS 



Statutory Authorin G.S. 143B-147. 



.0504 SCOPE 

Th e s tandards in this S e ction apply to e ach compon e nt of th e 
area program and — its contract agencies unless otherwise 
specified in individual standards in thi s Section. 

Statutory Authority G.S. 122C-51; 143B-147. 

.0511 DIAGNOSTIC CODPNG 

(ft) — Each ar e a program and its contract ag e nci e s s hall cod e 

diagnos e s for cli e nts in e ach compon e nt using th e following 

diagnostic systems: 

(+) Mental illness, mental retardation or substance 

abus e shall b e diagnos e d according to th e Diagnos 
tic and Statistical Manual of M e ntal Di s orders, 3rd 
Edition (DSM III R). This publication is available 
from the American P s ychiatric Press Inc., Suite 
1101, MOO K Str ee t, N.W., Washington, DC 
20005 2192, at a cost of twenty nin e dollars and 
ninety five cents ($29.95 — s oft cover) or thirty nine 
dollars and ninety five cents ($39.95 — hard cover). 

(-2) Physical disorders s hall b e diagnos e d according to 

International Clas s ification of Dis e as e s, 9th R e vi 
sion. Clinical Modification (ICD 9 CM). — Volumes 
I and 2 of this publication are availab l e from 



.0702 CROSS-REFERENCE TO 

ADMISSION AND DISCHARGE 

— (*) — Each service not subject to licensure under G.S. 122C, 
Artic le 2 shall comply with the provi s ion s of 10 NCAC 14K 
,0343, 

(b) — For purposes of th e rules of thi s Section, th e t e rm 
"facility" in 10 NCAC 1 4 K. .0313 shall be interpreted to mean 
"service". 

Statutory Authority G.S. 143B-147. 

.0703 CROSS-REFERENCE TO ASSESSMENT 

— (ft) — Each compon e nt not subj e ct to licensur e under G.S. 

122C, Articl e 2 shall comply with the provi s ion s of 10 NCAC 

1 4 K .031 4 . 

— fb) — For purpo s es of the rule s of thi s Section, the term 

"facility" in 10 NCAC MK .0311 shall be int e rpreted to m e an 

"compon e nt". 

Statutory Authority G.S. 143B-147. 

.0704 EVALUATION/DIAGNOSIS 

(a) — Each component shall specify in writing an v routin e- 
diagnostic — tests, — a ss e ss ments and — evaluation s or — medica l 



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examinations, ao well as timeframes for their completion, which 
ohall b e complet e d for e nch cli e nt. 

(b) Cli e nt diagnoooo ohall bo establish e d using DSM III R or 
ICD 9 CM as required in 10 NCAC 18L .051 1. 

Statutory Authority G.S. 143B-147; 

.0705 CROSS-REFERENCE TO INDIVIDUAL 
TREATMENT/PROGRAM PLAN 

(a) Ench program component not subj e ct to lic e nsur e und e r 
GtSt — 122C. — Articl e — 3 — which — provid e s — activ e — tr e at 
ment/habilitation shall comply with the provisions of 10 NCAC 
1 4 K .0315. 

— fb) — For purposes of th e rul e s of thi s S e ction, th e t e rm 
"facility" in 10 NCAC MK .0315 shall b e interpret e d to m e an 
"program component". 

Statutory Authority G.S. 122C-51; 143B-147. 

.0707 CROSS-REFERENCE TO SERVICE 
COORDCsATION 

(a) Each program component not subj e ct to lic e nsur e und e r 
G.S. 122C. Articl e 2 s hall comply with th e provisions of 10 
NCAC 1 4 K .0318. 

— fb) — For purpose s of the rules of this Section, the term 
"facility" in 10 NCAC MK .031 8 shall be int e rpr e t e d to m e an 
"program component " 

Statutory Authority G.S. 143B-147. 

SECTION .0800 - HEALTH PRACTICES 

.0801 SCOPE 

Th e standards in this S e ction apply to e ach compon e nt of th e 
area program and its contract agenci e s. 

Statutory Authority G.S. 122C-51: 122C-117; 122C-121; 
122C-154; J22C-155: 143B-147. 

.0803 REPORTPsG COMMUNICABLE 
DISEASES 

Each compon e nt shall b e responsibl e for reporting to th e local 
h e alth department cases of s u s p e ct e d reportabl e communicabl e 
di s ea s e s as required by G.S. 130A. Article 6 (Communicable 
Diseases and Conditions). 

Statutory Authority G.S. 122C-51; 122C-117; 122C-121; 
122C-154; 122C-155: 143B-147. 

.0804 CROSS-REFERENCE TO MEDICAL 
EMERGENCIES 

The governing body of each component not subject to 
licensure under G.S. 122C. Article 2 shall comply with the 
provi s ions of 10 NCAC MK .0335. 

Statutory Authority G.S. 143B-147. 



.0805 CROSS-REFERENCE TO EMERGENCY 
INFORMATION 

— t*) — Each compon e nt not subj e ct to lic e nsur e und e r G.S. 
122C. Article 2 shall comply with the provisions of 10 NCAC 
1 4 K .0336. 

— fb) — For purposes of th e rul e s of this S e ction, th e t e rm 
"facility" in 10 NCAC MK .0336 shall b e int e rpreted to moan 



Statutory Authority G.S. 143B-147. 

.0806 CROSS-REFERENCE TO EMERGENCY 
CARE PERMISSION 

— ea-) — Each s e rvic e not subj e ct to lic e n s ur e under G.S. 122C. 
Articl e 2 shall comp l y with th e provisions of 10 NCAC MK 

■mzh 

— (bj — For purposes of the rules of this Section, the term 
"facility" in 10 NCAC MK .0337 shall b e interpreted to moan 

"s e rvic e ". 

Statutory Authority G.S. 143B-147. 

.0807 CROSS-REFERENCE TO STAFF TRArNTNG 
FOR MEDICAL EMERGENCIES 

— fa-) — Each component not subject to licensure under G.S. 

122C, Articl e 2 shall comply with th e provisions of 10 NCAC 

14K .033 8 . 
(b) — For purposes of the rules of this Section, the term 
facility" in 10 NCAC 1 4 K .0338 shall bo interpreted to mean 

"compon e nt". 

Statutory Authority G.S. 143B-147. 

.0808 CROSS-REFERENCE TO RESPONSIBILrrY 
FOR WATER SAFETY 

—fa-) — Each component not subject to licensure under G.S. 
122C, Article 2 which includes water activities in its schedule 
shall comply with th e provisions of 10 NCAC MK .0313. 

(b) — For purposes of th e rul es of this S e ction, th e t e rm 
"facility" in 10 NCAC 1 4 K .03 4 3 shall bo interpreted to moan 
"component". 

Statutory Authority G.S. 143B-I47. 

.0809 CROSS-REFERENCE TO FIRST AID 
SUPPLIES 

— ta-) — Each compon e nt not subj e ct to lic e n s ur e und e r G.S. 

122C, Article 2 s hall comply with the provi s ions of 10 NCAC 

1 4 K .03 4 1. 

— fb) — For purpos e s of th e rul e s of this S e ction, th e t e rm 

"facility" in 10 NCAC MK .0311 shal l be int e rpr e t e d to m e an 

"component". 

Statutory Authority G.S. 143B-147. 

SECTION .0900 - CLCVICAL SERVICES 



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.0901 SCOPE 

The standards in this Section apply to e ach compon e nt of th e 
area program and ito oontmot ag e nci e s that inoorporatoo olinioal 
services in its activities. 



Statutory Authority G.S. 122C-51; 
122C-154; 122C-155; 143B-147. 



.0902 



122C-117; 122C-121; 



COUNSELING/PSYCHOTHERAPY 
SERVICES 

Individual, group and family couns e ling and p s ychoth e rapy 
3hall bo provided by. or under the direct supervision of. 
qualified professionals who have received training in these 
troatm e nt/habilitation modaliti e s. 



Statutory Authority G.S. 122C-51; 
122C-154; 122C-155; 143B-147. 



122C-117; 122C-121; 



.0903 CROSS REFERENCE TO SPECIALIZED 
THERAPIES 

— Specialized therapies provided by programs not subject to 
lic e nsure under G.S. 122C. Artiol e 2 shall b e impl e m e nt e d 
according to th e provisions of 10 NCAC HK 03'1^1. 

Statutory Authority G.S. 143B-147. 

.0904 CROSS-REFERENCE TO TESTING 
SERVICES 

Testing services provided by programs not subject to liconsure 
und e r G.S. 122C, Articl e 2 shall b e implemented according to 
th e provisions of 10 NCAC HK .0315. 

Statutory Authority G.S. 143B-147. 

SECTION .1000 - MEDICAL SERVICES 

.1001 SCOPE 

— M e dioal — s e rvic es — includ e — e valuating — m e dication — needs, 
pr e scribing of m e dioations. th e ord e ring of laboratory t e sta to 
assist in the diagnosis and monitoring of problems associated 
with tho mental health, mental retardation and substance abuse 
disord e r of cli e nts, and prop e r r e f e rral to oth e r m e dical 
sp e cialists wh e n indicated. — Th e standards in this Section apply 
to each component of tho area program and its contract agencies 
that provides medical services. 



Statutory Authority G.S. I22C-51; 
122C-154; 122C-155; 143B-147. 



.1002 



122C-117; 122C-121; 



CROSS-REFERENCE TO PHYSICIAN 
RESPONSIBLE/MEDICAL SERVICES 

Each component not subject to liconsure under G.S. 122C, 
Article 2 providing medical services shall comply with the 
provisions of 10 NCAC HK .0339. 

Statutory Authority G.S. 90-18; 143B-147. 



.1003 CLIENT EVALUATION BY A PHYSICIAN 

Each client shall b e e valuated by a physician prior to the 
provision of m e dioal s e rvic e s associat e d with m e ntal hoalth, 
mental retardation and substance abuse noods of clients. 

Statutory Authority G.S. 90-18; 122C-3; 122C-51; 122C-112; 
122C-116; 122C-117; 122C-121; 122C-132; 122C-154; 
122C-155; 143B-147. 

.1004 CROSS-REFERENCE TO LABORATORY 
POLICIES AND PROCEDURES 

—(ft) — Tho governing body of each component not subject to 
licensure under G.S. 122C, Article 2 which orders laboratory 
tests shall comply with th e provisions of 10 NCAC HK .0316. 
—(b) — For purpos e s of th e rules of this S e ction, th e t e rm 
"facility" in 10 NCAC 14K .03 4 6 shall be interpreted to mean 
"component". 

Statutory^ Authority G.S. 143B-147. 

. 1 005 CROSS-REFERENCE TO LABORATORY 
ACCREDITATION 

Each component not subject to lic e nsur e und e r G.S. 122C, 
Article 2 which orders laboratory testa shall comply with the 
provisions of 10 NCAC 1 4 K .03 4 7. 

Statutory Authority G.S. 143B-147. 

. 1006 CROSS-REFERENCE TO DOCUMENTATION 
OF LABORATORY TESTS 

— (*) — Each component not subj e ct to licensure und e r G.S. 
122C, Article 2 shall comply with the provisions of 10 NCAC 
1 4 K .03 4 8. 

(b) — For purpos e s of th e rul e s of this S e ction, th e t e rm 
"facility" in 10 NCAC HK .0318 shall bo int e rpr e t e d to moan 
"component". 

Statutory Authority G.S. 143B-147. 

SECTION .1100 - MEDICATION SERVICES 

.1101 SCOPE 

— M e dication s e rvic e s includ e th e prescribing, dispensing, 
administration, storage and control of medication and the 
provision of education to those clients who are placed on 
medication by staff of tho ar e a program or its contract ag e nci e s. 
Th e standards in this S e ction apply to each compon e nt of tho 
area program and its contract agencies. 

Statutory Authority G.S. 122C-3; 122C-51; 122C-57; 122C-61; 
122C-112; 122C-116; 122C-117; 122C-121; 122C-132; 
122C-154; 122C-155; 122C-206; 143B-147. 

. 1 102 CROSS-REFERENCE TO PRESCRD3ING 
OF MEDICATION 

—(ft) — When medication is proscribed or administered in a 
service not subject to licensure under G.S. 122C, Article 2 



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551 



PROPOSED Rl LES 



compliance with the ptwwwtw of 10 NCAC UK ,0.151 sholl 

-(h) — For purpo rts of -tbe- rules of thi s S e ction, th e t e rm 
"facil i ty" in 10 NCAC MK ,0151 s holl be interpreted to meon 
' service 11 . 

Statutory Authority G.S. I43B-I47. 

1 1 03 CROSS-REFERENCE TO DISPENSING 
OF MEDICATION 

I ndividuals dispensing mcdicotion in programs not s ub je ct to 
li censure undor G.S. I22(. . Artic l e 2 shal l comply with tho 
provisions of 10 NCAC 1 4 K .0350 

Statutory Authority G.S. 90-18.1; 90-18.2: W-68; 90-85.2; 
143B- 147. 

.1105 CROSS-REFERENCE TO STORAGE 
OF MEDICATION 

In progroms not subject to licensure under G.S. 122C. Article 
3t ni l medication shol l bo stored nccording to the provisions of 
10 Nf \C Hk 0352 

Statutory Authority G.S. 143B-147. 

1 106 CROSS-REFERENCE TO DISPOSAL 
OF MEDICATION 

— hh — I n programs not s ubiect to licensure under G.S. 122C. 

Artic l e 2 medication shall he disposed of" according to the 

provisions of 10 NCAC MK 0353. 

— t+M — For purpor t s of the rules of th i n S e ction, th e t e rm 

"fac ili ty" in 10 NCAC 1 4 K 0353 shall be interpreted to moan 

"progmm". 

Authonn G.S 143B-147; 21 C.F.R. 1307.21. 



Stati4tory Authority G.S, 130A-36I; 143B-147 

.1203 CROSS-REFERENCE TO NUTRITION 
REQUIREMENTS 

(a) Fnch program component not s ubject to licensure under 
G.S. I 22C. Articl e 2 serv i ng m e a l s for cli e nts sha li comply 
with th e nutrition r e quir e m e nts de li n e at e d in 10 NCAC — M-K 
0356. 

— (4x — For purposes of the ru le s of th i s Section, the term 
"fncilitv" in 10 NCAC — UK .0356 sha ll b e int e rpr e t e d to mean 
"program compon e nt 1 



Statutory Authority G.S. 130A-361; 143B-I47 

.1204 CROSS-REFERENCE TO MODIFIED 
DIETS 

(a) faich program component not subject to licensure under 
G.S. 1 221. Artic le 2 serving m e ol r. for c l i e nts sha ll comp l y 
witb th e requir e m e nts for modifi e d diets de l in e at e d in 1 NCAC 
I il k (HS7 

— (&) — For purposes of the ru l es of thi s Sect i on, the term 
"fac ili ty" in 1 NCAC MK 0357 shall be int e rpr e t e d to mean 
'program compon e nt". 

Statutory Authority G S. 130A-361; 143B-147. 

.1205 CROSS-REFERENCE TO STAFFING 
FOR FOOD SERVICE 

— (*) — fcoch program component not sub|cct to l icensure under 
G.S. I22C. Articl e 2 serving mor e than on e m e al daily r . ha i l 
comp l y w i th th e r e qu i r e m e nts for staffing for food s e rvic e and 
maintenance d el in e ated i n 10 NCAC 1 4 K .035 8 . 
— fM — For purposes of the rules of this Section, the renn 
"facil i ty" in 10 NCAC I IK .035 ft s hal l h e i nt e rpr e t e d to m e an 
"program compon e nt". 



.1 107 CROSS-REFERENCE TO MEDICATION 
EDUCATION 

— Programs not suo ie ol to l ic e nsur e und e r G.S. 122C. Artic le 
2 prov i ding med i cation for cl i ents s hall provide medication 
educat i on accordin g to the provisions of 10 NCAC 1 4 K .035 4 . 

Statutory Authority G.S. 143B-147. 

SECTION .1200 - NUTRITION/DIETARY 
PRACTICES 

.1201 SCOPE 

— Nutrition i j crviocs are supportive services which recognize and 
pres i de for th e physio l ogical, e motional and cultural needs of 
cli e nt s through nutrition e ducation and th e provision of food. 
Nutr i tion serv i ce s promote development of dietary practices 
which re s ult in optimum nutritional status for health, well being, 
growth and d e v e lopm e nt of th e individual. Th e standards in this 
S e ction app l y to e uch compon e nt of th e ar e a program and itt; 
coiuruct agenci e s unless otherwise specified in i ndividual 
standards in this Sect i on. 



Statutory Authority G.S. 143B-147 

.1206 CROSS-REFERENCE TO FOOD SERVICE 
EQUIPMENT AND SPACE 

— (a) Kach program component not subject to l icen s ure under 
G.S. 122C. Articl e 2 s e rving more than on e m e ai dai l y ?. hali 
comply w i th th e r e quir e m e nts for food servic e e quipm e nt and 
s puc e d e lineated in 10 NCAC 1 4 K .0350. 
— (bj — For purposes of the ru l es of this Section, the term 
"facility" in 10 NCAC 1 IK .035Q s hall b e int e rpr e t e d to mean 
"program compon e nt". 

Statutory Authority G.S. 143B-147. 

SECTION . 1300 - TRANSPORTATION 
SERVICES 

.1301 SCOPE 

— Transportation sefviaes ar e a supportiv e means of assist i ng 
clients in their receipt of needed s ervice s . — When tran s portat i on 
s ervice s for cl i ents are provided, the progmm a s sume s rcsponsi 



552 



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10:7 



PROPOSED RULES 



bility for client safety. — The standards in this Section apply to 
transportation servic e s prov i ded for cli e nts by components of 
the ar e a program and its oontraot agoncioo. 

Statutory Authority G.S. 143B-147. 

.1302 CROSS-REFERENCE TO TRANSPORTATION 
POLICY 

(a) — The governing body of each component not subject to 
lic e nsur e und e r G.S. 122C. Articl e 2 providing transportation 
servic e s for cli e nts s hall comply with th e r e quir e ment! ) r e gard 
ing transportation policy delineated in 10 NCAC 1 4 K .0361. 
— fb} — For purposes of the rules of this Section, the term 
"facility" in 10 NCAC MK .0361 shall b e int e rpr e t e d to m e an 
"oompon e nt". 

Statutory Authority G.S. 143B-147. 

. 1303 CROSS-REFERENCE TO LICENSED 
DRIVER 

— Each driver in the transportation service in program compo 
nonto not subj e ct to lic e nsur e und e r G.S. 122C. Articl e 2 shall 
comply with th e provi s ion s of 10 NCAC HK .0362. 

Statutory Authority G.S. 143B-147. 

.1304 CROSS-REFERENCE TO SAFETY 
PRECAUTIONS 

— Each oomponent not subject to licensure under G.S. 122C. 
Article 2 providing transportation s e rvic e s for clients s hall 
comp l y with th e r e quir e ments for s e at b e lts and s e cur e storag e 
delineated in 10 NCAC 1 4 K .0363. 



Statutory Authority G.S. 143B-147. 

.1305 CROSS-REFERENCE TO TRANSPORTATION 
OF MINORS 

— Each oompon e nt not subject to lic e nsur e und e r G.S. 122C. 
Art i cle 2 providing transportation s e rvic es for minor oli e nts 
shall comply with the provi s ions of 10 NCAC 1 4 K .036 4 . 

Statutory Authority G.S. 143B-147. 

.1306 EMERGENCY INFORMATION 



unless justification for l onger driving time is documented. 
Statutory Authority G.S. 143B-147. 

.1308 LABELING OF VEHICLES 

— Lab e ling of vehicles used for transportation of oli e nts shall not 
indicat e that disability group are being transport e d. 

Statutory Authority G.S. 143B-147. 

.1309 CONTRACTED TRANSPORTATION 
SERVICES 



-When 



-the 



hen a component contracts for tran s portation services, 
provisions of th e contract shall incorporat e compliance with the 
standards contained in this S e ction. 

Statutory Authority G.S. 143B-147. 

SECTION .1400 - RESEARCH PRACTICES 

.1401 SCOPE 

(a) Th e standards in this S e ction apply to res e arch which: 
fH is not standard or conv e ntional; 

(2-) involves a trial or special observation which would 

plac e th e s ubject at ri s k for injury (physical, pay 
etiological or social injury), or increas e th e chance 
of disclosur e of tr e atm e nt: 

(3} utilizes elements or steps not ordinarily employed 

by qualified professionals treating similar disorders 
of thi s population; or 

(4) is a typ e of proc e dur e that s e rv e s th e purpos e of the 

research — only and — does not — inc l ude — treatment 
designed primarily to benefit the individual. 

(b) Th e standards in this S e ction apply to each oompon e nt of 
th e ar e a program and its contract ag e nci es which involv e area 
program cl i ents in research activities. 

Statutory Authority G.S. 122C-52; 122C-54; 122C-55; 122C-56; 
143B-147. 

. 1402 CROSS-REFERENCE TO RESEARCH 
REVIEW BOARD 

—(ft) — Each oomponent not s ubj e ct to l ic e nsur e und e r G.S. 
122C. Article 2 which involves area program clients in research 



— Emergency information for each client shall bo available and activities shall comply with the requirements relating to research 
e asily acc e ssible to the v e hicl e op e rator. — This information shftH r e vi e w boards delin e at e d in 10 NCAC MK .0333. 

— (b) — For purpos e s of the rules of thi s S e ction, th e term 
"facility" in 10 NCAC 1 4 K .0333 shall be interpreted to mean 
"component". 

Statutory Authority G.S. 122C-52; 143B-147. 

.1403 CROSS-REFERENCE TO SUBJECT 
PARTICIPATION 

— Each compon e nt not s ubj e ct to lic e n s ure und e r G.S. 122C. 
Article 2 which invo l ves area program clients in research 
activitie s s hall comply with the requirements for subject 



includ e th e nam e , addre ss and telephon e number of th e person 
to be contacted in case of sudden illness or accident and the 
name, address and telephone number of the client's preferred 
phys i cian. 

Statutory Authority G.S. 143B-147. 

.1307 TRANSPORTATION ROUTES 

Tran s portation rout e s shall b e d e sign e d so that e ach cli e nt who 
is regularly s cheduled to receive services three or more days per 
week shall not be tran s ported more than one hour one way 



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553 



PROPOSED RULES 



participation delineated in 10 NCAC 1 4 K .033 4 . 

Statutory Authority G.S. I22C-52; 143B-I47. 

SECTION .1500 - EARLY INTERVENTION 
SERVICES PROCEDURE SAFEGUARDS 

1501 SCOPE 

This Section applies to those early intervention services that 
are available through th e area program s and contract agencie s . 

Authority G.S. 143B-147; 150B-I(d); 20 U.S.C. Sections 1401 
et. seq. , 1471 et.seq. 

1502 DEFINITIONS 

(a) As used in thi s Section, the fo l lowing terms shall have the 
meanings specified in Section 303. .4 01 of Subpart E of Part 303 
of Titl e 3 1 of the Code of F e d e ral R e gu l ation s : 

(+) "Consent"; 

"Native language"; 






"Personally identifiabl e 



This adoption by — referenc e i s in accordanc e w i th G.S. 
150B M(o). 



— (4>» — As used in this Section, the term "Early Intervention 
Services" shall have the meaning s pecified in Section 303. 12 of 
Subpart A of Pan 303 of Tid e 31 of th e Cod e of F e d e ral 
R e gulation;: ' . This adopt i on by r e f e r e nc e i s in accordanc e with 
G.S. 150B 11(c). 

— fe-) — As used in this Section, an eligible child is an infant or 
toddl e r who meets th e d e finition of "high ri s k childr e n." 
"d e v e lopmentally delay e d chi l dr e n." or childr e n with "atypical 
development" as defined in 10 NCAC I 4 K .0103. or "develop 
mentally disabled" children a s defined in G.S. 122C 3. 



Authority G.S 143B- 147: 20 V.S.C. Sections 1401 et. 
1471 et.seq. 



.1503 



seq. , 



OPPORTUNITY TO EXAMINE 
RECORDS 

— Area programs and contract agencies shall comply with 
Section 303. 4 02 of Subpart E of Part 303 of Title 3 4 of the 
Cod e of Federal R e gulations r e lating to th e right of th e par e nts 
of an e ligibl e child to e xamin e r e cords. — Thi s adoption by 
reference is in accordance with G.S. 150B 1 4 (c). 

Authority G.S. 143B-147; 150B-UJ): 20 U.S.C. Sections- 1401 
et. seq., 1471 et.seq. 

.1504 PRIOR NOTICE; NATIVE LANGUAGE 

— Ar e a programs and contract ag e nci e s shall comply with 
S e ction 303. 103 of Subpart E of Part 303 of Titl e 31 of th e 
Code of Federal Regulations relating to the requirement of prior 
notice to parents of an eligible child in the parents' native 
languag e . — Thi s adoption by r e f e r e nc e i s in accordanc e with 
G.S. 150B 1 1 (c). 

Aiahorir\- G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 



et. seq., 1471 et.seq. 

.1505 PARENT CONSENT 

— Area programs and contract agencies shall comply with 
Section 303. 4 4 of Subpart E of Part 303 of Title 31 of the 
Cod e of Federal R e gulations r el ating to the r e quir e m e nt of 
parental cons e nt. — Th e p e riod of reasonable tim e r e f e renced in 
303. 4 03(a) shall be con s trued to bo no less than two week s . 
This — adoption — by — reference — is — m — accordance — with — G.S. 
I50B M(c). 

Authority G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et. seq.. 1471 et.seq. 

1506 SURROGATE PARENTS 

— Area programs and contract agencies shall comply with 
Section 303. 105 of Subpart E of Part 303 of Title 3 4 of the 
Cod e of F e d e ral R e gulations r e lating to surrogat e par e nts. — Thi s 
adoption by r e ference i s in accordanc e with G.S. 150B M(c). 

Authority G.S. 143B-147; 150B-KJ): 20 U.S.C. Sections 1401 
et. seq. 1471 et.seq. 

.1507 EARLY INTERVENTION SERVICES 

— (*) — Area program s and contract agencie s s hall comply with 
S e ction 303. 12 (b) through ( e ) of Subpart A of Pan 303 of Titl e 
31 of th e Cod e of F e d e ral R e gulations relating to e arly int e rven 
tion service s . Thi s adoption by reference is in accordance w ith 
G.S. 150B 1 4 (c). 

— (b) Infants and toddl e r s ref e rr e d for s e rvices shall b e ass e ss e d 
in accordanc e with the provisions of 10 NCAC MK .0314 and 
admitted in accordance with the provi s ion s of 10 NCAC 1 4 K 
.0313. 

(o) Infants and todd le p j s hall r e c e iv e s e rvices in accordanc e 
with th e provisions of 10 NCAC MK .0315. 

Authority G.S. 143B-147; 20 U.S.C. Sections 1401 et. seq.. 
1471 et.seq. 

.1508 ADMINISTRATIVE COMPLAINT 
RESOLUTION/MEDIATION 

— Par e nts of an e ligibl e child s hall hav e th e right to a tim e ly 
administrativ e resolution of any complaints conc e rning an ar e a 
program' s or contract agency's proposal or refusal to initiate or 
change the i dentification, evaluation or p l acement of the child, 
or concerning th e provi s ion of appropriate early int e rv e ntion 
s e rvic e s to th e chi l d and th e child' s family. — Th e par e nts of an 
eligib l e child shall also have the right to mediation of such 
complaints. — The procedures for resolution and mediation of 
complaints shall b e se t forth in this S e ction. 

Authority G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et. seq., 1471 et.seq. 

.1509 ADVISING PARENTS OF AVAILABILITY 
OF COMPLAINT RESOLUTION 

— Whenever an area program or contract agency becomes aware 



554 



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July 3, 1995 



10:7 



PROPOSED RULES 



that the parents of an eligible child disagree with any decision mediators. 

regarding e arly int e rv e ntion servic e s for th e ir child, th e ar e a (d) — M e diation may not be used to d e ny or d e lay a par e nt' s 

program or oontraet ag e ncy, which e v e r i s appropriat e , s hall right to speedy complaint r e solution. — Th e m e diativ e , adminis 



immediately advise the parents regarding the availability of and 
procedure for requesting complaint reso l ution under this 
Section. 



trativo proceeding and written decision must be completed 
within the 30 day timeline set forth in Rule .1517 of this 
S e ction. 



AiUhority G.S. 143B-147; 1 SOB- 1(d); 20 U.S.C. Sections 1401 
et. seq., 1471 et.se q. 



Authority G.S. 143B-147; 20 U.S.C. Sections 1401 et. 
1471 et.seq. 



seq. , 



.1510 WRITTEN REQUEST FOR COMPLAINT 
RESOLUTION 



.1513 SCHEDULING ADMINISTRATIVE 
PROCEEDINGS 



— A request by parents of an eligible child for admini s trative — Upon receipt of written reque s t for administrative complaint 
resolution or m e diation of a comp l aint sha l l b e in writing and 
sent to the Dir e ctor of the area program in which the eligible 
child is receiving services. 



Authority G.S. 143B-147; 1 SOB- 1(d); 20 U.S.C. Sections 1401 
et. seq., 1471 et.seq. 

.1511 CONTENT OF REQUEST FOR 
COMPLAINT RESOLUTION 

A r e quest by par e nts of an e ligib le child for administrativ e 
resolution or mediation of a complaint shall contain the follow 
ingr 

— (4-) nam e and addr e ss of th e child; 

— fS) nam e and addr e ss of th e par e nt; 

(3) name and address of the area program or contract 

agency again s t whom the complaint is made; 

M) a stat e m e nt of facts d es cribing in s ufficient detail th e 

natur e of th e complaint; 

(5) the signature of the complaining parent and the date 

of s igning; and 

wh e th e r th e par e nt d es ire s mediation prior to th e 

admini s trativ e r e solution of his complaint. 



-m- 



Authority G.S. 143B-147; lSOB-l(d); 20 U.S.C. Sections 1401 
et. seq. , 1471 et.seq. 

.1512 MEDIATION 

— fa-) — Parents of an eligible child may request mediation to 
r e solv e a complaint as an int e rv e ning step prior to th e adminis 
trativ e proceeding. — If m e diation i s r e qu es t e d, th e m e diation 
shall take place prior to the administrative proceeding. 
(d) An impartial person shall be: 
l±) appoint e d by th e ar e a dir e ctor to s e rv e as a m e dia 



-H 



ion 



-m- 



selected from a li s t of mediators approved by the 
Chief of the Developmental Disabilities Section of 
th e Division; and 

f£) subj e ct to qualifications of an impartial p e rson as 

specified in Section 303. 1 21 of Subpart E of Part 
303 of Title 3 4 of the Code of Federal Regulations 
and incorporat e d by r e f e r e nc e . — Thi s incorporation 
by r e f e r e nc e shall includ e any sub s equent am e nd 
ment and editions of the referenced material. 

fe) — The Divis i on shall provide a training program for the 



r e solution pursuant to Rul e .1511 of this S e ction, the Dir e ctor 
of th e ar e a program in which the e ligib le child is rec e iving 
s ervices s hall s chedule an administrative proceeding in accor 
dance with the requirements of thi s Section. — The parents shall 
b e notifi e d in writing of th e dat e , tim e and location of the 
proc e eding no later than seven calendar days prior to the 
hearing by the area director. — The hearing s must be scheduled 
at a time and place that i s reasonably convenient to the parents. 

Authority G.S. 143B-147; 1S0B-I(d); 20 U.S.C. Sections 1401 
et. seq., 1471 et.seq. 



.1514 



T^lfl- 



APPOFNTMENT AND QUALIFICATIONS 
OF IMPARTIAL PERSON 



artial 



-i mpartial person shall be appointed by the area director to 
serve as a hearing officer for implementation of the administra 
liv e complaint re s olution proc e ss. — Complianc e with S e ction 
303.121 of Subpart E of Part 303 of Titl e 34 of th e Code of 
Federal Regulation s relating to the qualifications of an impartial 
per s on is required. This adoption by reference i s in accordance 
with G.S. 150B 14(c). — Th e impartial p e rson must b e select e d 
from a li s t of h e aring offic e rs approv e d by th e D e puty Dir e ctor 
of the Developmental Disabilitie s Section of the Division of 
Mental Health, Developmental Disabilities and Sub s tance Abu s e 
S e rvic e s. — Th e Division of M e ntal H e alth, D e v e lopm e nta l 
Disabiliti es and Sub s tanc e Abus e S e rvic e s shall provide a 
training program for the impartial hearing offic e rs. 



Authority G.S. 143B-147; ISOB-l(d); 20 U.S.C. Sections 1401 
et. seq., 1471 et.seq. 

.1515 AUTHORITY AND RESPONSIBILITIES 
OF IMPARTIAL PERSON 

(a) Th e h e aring offic e r shall hav e th e pow e rs list e d in G.S. 
I50B 33, and in addition s hall have the following authority: 
to establi s h rea s onable time limitation s on the 



-&- 

parti e s' pr e s e ntations; 
-(2) to disallow irr e l e vant, — immaterial or r e petitiv e 

evidence; 
-0) to direct that add i tional evaluations of the child be 

p e rform ed^ 
-f4) to mak e findings of fact and conclusion s of law 

relevant to the issue s involved in the hearing; 
-(§) to issue subpoenas for the attendance of witnesses 



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555 



PROPOSED RULES 



or the production of documents; and 

f6-) to sp e cify th e typ e and scop e of the; early int e rven 

t i on servic e s to be off e r e d the child, wh e r e the 
propo s ed services ore found to bo inappropriate. 

This adoption by reference of G.S. — 150B 33 shall be in 

accordanc e with G.S. 150B M(o). 
(b) Th e hearing offic e r do e s not have th e authority to: 

(-H determine that only a specific program, specific 

early intervention staff person or specific service 
provider is appropriat e for th e pupil; or 

f3-) d e t e rmine noncomplianc e of stat e law and r e gula 

tion s . 
(et The decision of the hearing officer s hall be in writing and 

shall contain findings of fact, conclusions of law and the reasons 

for the decision. — Th e h e aring offic e r shall mail a copy of th e 

deci s ion to each party by certified mail, return receipt re 

quested, 
(d) The h e aring officer shall inform th e par e nt that th e par e nt 

may obtain a transcript of th e h e aring at no co s t. 



accordance with G.S. 150B 1 4 (c). 

Authority G.S. 143B-147; 150B-J(d); 20 U.S.C. Sections 1401 
et. seq. , 1471 et.seq. 

.1520 CONFIDENTIALITY 

— P e rsonally i d e ntifiab le information concerning an e ligibl e child 
or family member of an eligible child is confidential and may 
not be di s closed or acquired except a s provided by Rule .1521. 
.1522. and . 152 - 1 of this S e ction. 

Authority G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et. seq.. 1471 et.seq. 

.1521 DISCLOSURE OF CONFIDENTIAL 
INFORMATION TO EMPLOYEES 

An area program or contract agency may disclose confidential 
information to its employees who hav e a legitimat e n e ed for 
acc e ss to the information. - 



.Authority- G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et. seq. , 1471 et.seq. 



Authority G.S. 143B- 147; lSOB-l(d); 20 U.S.C. Sections 1401 
et. seq. . 1471 et.seq. 



.1516 PARENT RIGHTS IN ADMINISTRATIVE 
PROCEEDCMGS 

— Par e nts of an e ligible child shall hav e th e rights s et forth in 
Section 303.122 of Subpart E of Part 303 of Titl e M of th e 
Code of Federal Regulation s . This adoption by reference i s in 
accordance with G.S. I50B 1 4 (c). 

Authority G.S. 143B-147; 150B-lfd); 20 U.S.C. Sections 1401 
et. seq. 1471 et.seq. 

.1517 TIMELINES 

Th e admini s trativ e - proc e eding shall b e compl e t e d, and a 
written decision mailed to each of the parties within 30 days 
after the receipt of a parent's complaint as described in Rule 
.1510 of thi s S e ction. 



.1522 WRITTEN CONSENT REQUIRED 

Except as provided in Rule . 1510 of this Section, all disclo 
s ure s of confid e ntial information, including disclosures between 
an area program and contract ag e ncy, may b e mad e only with 
the written con s ent of the parents. — Client information may be 
disclosed between agencies participating in the provision of 
e arly int e rv e ntion s e rvices in accordanc e with G.S. 122C 53(a), 
122C 55(c). 122C 55(f). or 122C 55(h). as appropriate. 
However, the extent of information disclosed shall be limited to 
that information which is nec e ssary to carry out the purpose of 
th e di s clo s ure. Parents shall b e inform e d of th e ir right to r e fus e 
to con se nt to th e rel e ase of confid e ntial information r 

Authority G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et seq. 1471 et.seq. 



Authority G.S. 143B-147; 150B-KJ); 20 U.S.C. Sections 1401 
et. seq.. 1471 et.seq. 

.1518 CFVTL ACTION 

Section 303. 4 2 4 of Subpart E of Part 303 of Title 3 4 of the 
Code of Federal Regulation s relating to the availability of a civil 
action for any party aggri e v e d by th e findings and d e cision in 
an administrativ e proceeding is adopt e d by r e f e r e nc e in accor 
dance with G.S. I50B 1 4 (c). 

Authority G.S. I43B-147; 150B-I(d); 20 U.S.C. Sections 1401 
et. seq.. 1471 et.seq. 

.1519 STATUS OF CHILD DURING 
PROCEEDINGS 

S e ction 303. -1 25 of Subpart E of Part 303 of Titl e 31 of th e 
Code of Federal Regulations relating to the s tatus of a child 
during an admini s trative proceeding is adopted by reference in 



. 1 523 CONTENT OF WRrTTEN CONSENT 

(a) When consent for release of information is obtained by an 
ar e a program or contract agency cov e r e d by the rul e s in this 
Subchapter, a cons e nt for r e l e as e form containing th e informn 
tion in thi s Subparagraph shall be utilized. — The consent form 
s hall contain the following information: 

(4^ child' s nam e ; 

(-2) nam e of party r e l e asing th e information; 

P) name of individual or agency to whom information 

i s being released: 
(4) information to b e r e l e ased; 



-(5-) purpose for th e r e l e a se ; 



-m- 



length of time consent is valid: 



-+3i a statement that the consent is subject to revocation 

at any tim e ; 
-f&) s ignatur e of par e nt; 



-(9) signature of individual witnessing the consent; and 

( 10) date the con s ent i s s igned. 



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— fb) — The release shall bo offoctivo only until the initial 
Individual Family Servic e Plan io dev e lop e d, or, if an Individual 
Family S o rvioo Plan hao boon d e v e loped, until the n e xt Individ 
unl Servico Plan review . 

Authority G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et. seq., 1471 et.seq. 

.1524 RELEASE TO PUBLIC SCHOOLS 

With the consent of th e parents, confid e ntial information may 
b e provid e d to th e public oohoolo if and when th e child is 
enrolled in a program under Part B of the Education of the 
Handicapped Act. If tho parents refuse to consent, confidential 
information shall not be r e leased to th e public schools. 

Authority G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et. seq., 1471 et.seq. 

. 1525 CONSENT TO RECEIVE SERVICES 

Tho parents of a child, eligible to receive early intervention 
services, may determine whether they, thoir child, or other 
family memb e rs will acc e pt or decline any typ e of e arly 
intervention s e rvice without jeopardizing tho right to rec e iv e 
othor early intervention services. 

Authority G.S 143B-147; 150B-l(d); 20 U.S.C. Sections 1401 
et. seq. 1471 et. seq. 

SUBCHAPTER 18M - REQUIRED SERVICES 

SECTION .0100 - OUTPATIENT SERVICES 

FOR INDIVIDUALS OF ALL 

DISABILITY GROUPS 

.0107 SCOPE 

Services ar e provid e d to individuals, famili e s, or group s in a 



.01 10 SCHEDULING OF APPOINTMENTS 

The s e rvice shall establish and impl e m e nt written proc e dures 
for sch e duling of appointm e nts and provision of s e rvic e s for 
individuals without appointments. 

Statutory Authority G.S. 143B-147. 

SECTION .0200 - EMERGENCY SERVICES 

FOR INDIVIDUALS OF ALL 

DISABILITY GROUPS 

.0206 SCOPE 

Em e rg e ncy se rvice is provided on a 24 hour non scheduled 
basis to individuals for immediate screening or assessment of 
presenting problem s including emotional or behavioral problems 
or probl e ms r e sulting from th e abus e of alcohol or other drugs. 

Statutory Authority G.S. 143B-147. 

.0207 POPULATION SERVED 

Emergency servic e s shall b e availabl e to all ages and disability 
groups and th e ir families. 

Statutory Authority G.S. 143B-147. 

.0208 HOURS OF OPERATION 

Em e rg e ncy s e rvices shall b e provid e d 24 hours per day. s e v e n 



days per week. 12 month s per year. 
Statutory Authority G.S. 143B-147. 

.0209 STAFFING 

(a) At least one staff member shall be designated to coordinate 
and supervise activities of the emergency services network. 

(b) At l e ast one qualifi e d mental h e alth prof es sional shall b e 
non hospital s e tting through short vi s its to th e area program or availab le for imm e diate consultation and for dir e ct fac e to face 



its contract agencies for the purpo s e of treatment, habitation, 
or rehabilitation. 

Statuton,' Authority G.S. 143B-147. 



contact with clients. 

-fe) — A qualified alcoholism, drug abuse or substance abuse 

prof e ssional shall be availabl e to th e e m e rgency se rvic es 

n e twork. 



.0108 POPULATION SERVED 

Outpatient s ervices shall be available to all ages and disability 
groups and th e ir families. 

Statutory Authority G.S. 143B-147. 

.0109 A VARIABILITY OF SERVICES 

Th e ar e a program s hall provide at l e ast on e clinic that holds 



offic e hours no l e ss than 40 hours 



w ee k in ord e r to mak e 



pe?- 

available outpatient services. Clinics which are located at other 
sites in the catchment area, and which operate less than 4 
hours per w ee k, s hall inform cli e nts of th e availability of th e 
full tim e clinic wh e n part tim e clinics ar e not open. 

Statutory Authority G.S. I43B-147. 



Statutory Authority G.S. 122C-117; 122C-121; 122C-154; 
122C-155; 143B-147. 

.0210 TRAEVING OF STAFF AND 
VOLUNTEERS 

(a) Prior to providing emergency services, each staff member 
or volunt ee r s hall b e train e d in th e following: 

{+) available resources; 

(£) interviewing techniques; 

Q) characteristics of substance abuse, mental 



44V 



retardation and m e ntal illn ess 
crisis int e rv e ntion; 



-m 



making referral s ; and 



(6) commitment procedures. 

(b) Volunt ee rs s hall b e sup e rvis e d by a qualifi e d m e ntal h e alth 



10:7 



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July 3, 1995 



557 



PROPOSED RULES 



or substance abuse professional. 

Statutory Authority G.S. 122C-117; 122C-121; 122C-154; 
122C-155; 143B-147. 

.021 1 PROVISION OF SERVICES 

Emerg e ncy servic e s shall Includ e at loast the following: 

(-4-) 24 hour access to personn e l train e d in e m e r 

goncy services; 

2 4 hour telephone coverage at no cost to the 



-m- 



-^h 



e lie nt; 



provision for e m e rg e ncy ho s pital 



sp i tal services. 



-W- 



provision of emergency back up or consulta 
tion by a qualifi e d m e ntal health prof e ssional 
and a qualified alcoholism, drug abus e or 
s ub s tance abuse professional. 



Statutory Authority G.S. 122C-117; 122C-121; 122C-154: 
122C-155; 143B-147. 

.0212 EMERGENCY TELEPHONE NUMBER 

The emergency telephone number shall bo clearly identified in 
th e local telephon e dir e ctory and publiciz e d in th e community 
through such means ao brochure s , appointm e nt cards and public 
service announcements. 



of various community re s ource s . — It also servos to improve the 
social functioning of recipients by increasing awareness of 
human behavior and providing alt e rnativ e cognitive or b e hav 
ioral re s pon s e s to life s ituation s . 

Statutory Authority G.S. 143B-147. 

.0305 REQUIRED STAFF 

The consultation and education service shall have a designated 
director. 

Statutory Authority G.S. 143B-147. 

.0306 WRnTEN PROGRAM PLAN 

Each area program shall develop annually a svritten plan for 
con s ultation and e ducation se rvic es sp e cifying populations that 
will be targeted and objectives to b e obtain e d. 

Statutory Authority G.S. 143B-147. 

.0307 COORDINATION OF SERVICES 

Th e con s ultation and e ducation o e rvic e shall b e coordinat e d 
with other components of the area program to insure continuity 
of care. 

Statutory Authority G.S. 143B-147. 



Statutory Authority G.S. 143B-147. 

.0213 REVIEW AND FOLLOW-UP OF 

EMERGENCY SERVICES PROVIDED 

At least one designated s taff member of the area program shall 
revi e w e merg e ncy s e rvic e s records to assure that arrang e m e nts 
with tr e atm e nt/habilitation s taff ar e mad e for follow up s e rvic e s. 

Statutory Authority G.S. 143B-147. 

SECTION 0300 - CONSULTATION AND 

EDUCATION SERVICES FOR 

INDIVIDUALS OF ALL 

DISABILrTY GROUPS 

.0304 SCOPE 

— (*) — Consultation is a pr e v e ntion or int e rv e ntion s e rvic e 
provided to other mental health, human service, and community 
planning and development organization s or individual practitio 
nors of other organizations design e d to both impart knowl e dg e 
and assist r e cipi e nts in d e v e loping insights and skills n e c e ssar y ' 
to carry out their s ervice respon s ibilitie s . — The ultimate goal is 
to increase the quality of care avai l able in the service delivery 
system. 

(b) Education is a pr e vention or int e rv e ntion servic e which i s 
de s igned to impart knowledge to various target groups, includ 
ing clients, families, schools, businesses, churches, industries, 
and civic and oth e r community groups in th e inter e st of 
increasing und e rstanding of th e natur e of mental health, m e ntal 
retardation, and substance abuse di s orders, and the availability 



SECTION .0400 - CASE MANAGEMENT 

FOR INDIVIDUALS OF ALL 

DISABILITY GROUPS 

.0406 SCOPE 

-i-ai — Case management is a support service through which 
planning and coordination of s e rvic e s are earned out in b e half 
of th e individual. — Cas e manag e m e nt is d e sign e d to int e grat e 
multiple services needed or being received by the individual 
from other agencies with tho s e s ervices being received through 
th e ar e a program. — It may includ e advocacy on b e half of th e 
individual and monitoring th e provision of s e rvic e s to th e 
individual. — Within this context, case management assists an 
individual in mooting his total needs by establi s hing referral to 
e valuation, — tr e atm e nt. — e ducational, — vocational. — residential, 
h e alth, financial, social, and any other needed services. 
— fb) — The extent to which case management services arc 
provided will vary according to the needs of the client, 
(o) Th e provision of cas e manag e m e nt is th e r e sponsibility of 
th e ar e a program which may elect to provid e cas e manag e m e nt 
through a variety of models 3uch as: 

(-B primary therapist; 

(3) contract with a privat e ag e ncy, 

f3-) disability sp e cific cas e manag e rs; and 



-+V- 



arca operated ea s e management units. 



Statutory Authority G.S. 143B-147. 

.0407 PROVISION OF CASE MANAGEMENT 

The case management process shall begin at the time the 



558 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



individual is accepted as a client and shall continue through the 
termination of tho eliont/ag e ney r e lationship. 

Statutory Authority G.S. 122C-63; 143B-147. 

.0408 CASE MANAGEMENT ACTIVITIES 

(a) Case manag e m e nt activiti e s shall includ e : 

(4^ compr e h e nsiv e assessment of th e cli e nt's 

troatment/habilitation — needs — ef — problem 
areas; 

m- 



-#*- 



Statutory Authority G.S. 122C-63; 143B-147. 

SECTION .0500 - PROVISION OF INPATIENT 

PSYCHIATRIC SERVICES FOR CHILDREN: 

ADOLESCENT: ADULT AND 

ELDERLY FNDrVTDUALS WHO ARE 

ACUTELY MENTALLY ILL 

.0505 SCOPE 

Inpatient psychiatric ser v ices arc designed to provide intensive 
the allocation of r e sponsibiliti e s for impl e tr e atm e nt, supportiv e care and close s upervi s ion in a controlled 

e nvironm e nt on a 21 hour p e r day basis for m e ntally ill 
children, adolescents, adulto and elderly persons of the catch 
ment area. 



mentation — and — monitoring — of th e — tr e at 
mont/habilitation plan; 



establishment of separate and joint rosponsi 
biliti e s among staff and s e rvic e agenci e s 
involved in helping th e individual; 

-(4-) planning for need or problem resolution 

through the identification or dev e lopment of 
an appropriat e s e rvic e n e twork inclusiv e of 
all availabl e r e sources; and 

-f£) tho evaluation of outcomes. 



— fb) — When infants and toddlers are served, the following 

additional activiti e s ar e includ e d: 

(+) developing transition plan s in conjunction 

with the family related to entry into pro 
school which are the re s pon s ibility of the 
D e partm e nt of Public Instruction or oth e r 
involv e d public or privat e se rvic e provid e rs; 



-m- 



-m- 



facilitating and participating in the develop 
ment, review and e valuation of individual 
iz e d family s e rvic e p l an s ; 



informing famili es of th e availability of 

advocacy services; 
(4) coordinating with medical and health provid 

e re; and 
(5} assisting parents of e ligibl e childr e n in gain 

ing access to the eariy intervention services 

and other service s identified in the individu 

aliz e d family s e rvic e s plan. 

Statutory Authority G.S. 122C-63; 143B-147. 

.0409 STAFF QUALD7ICATIONS 

Wh e n infanta, toddl e rs and pr e school e rs are s e rv e d, th e cas e 
manag e r shall hav e d e monstrat e d knowl e dg e and understanding 
about: 
(+) infants and toddlers with or at risk for devei 

opm e ntal d e lays or atypical d e v e lopm e nt; 
{2j Port H of PL 99 157, th e f e d e ral r e gulation s 

related to it and relevant s tate s tatute s and 

s tandards; 



-0)- 



e ff e ctive and appropriat e h e lp giving b e hav 
iors; and 

-(4) tho nature and scope of the services available 

under tho state's early intervention program, 
r e sources availabl e for paym e nt for se rvic es 
and oth e r r e lat e d information. 



Statutory Authority G.S. 122C-51; 143B-147. 

.0506 PROVISION OF SERVICES 

-(*) — Each area program shall provide inpatient psychiatric 

s e rvic e s by on e or mor e of th e following: 

(4^ a psychiatric inpati e nt facility operat e d by tho 

area program and licensed according to the 
provisions of 10 NCAC 1 4 L .0100 (Inpatient 
Psychiatric S e rvic es for Individual s Who ar e 
M e ntally 111); 

(-3-1 a written agreement betwe e n the a re a p ro 

gram and a general ho s pital or private p s y 
ohiatrie ho s pital according to th e provisions 
of 10 NCAC 1 8 P S e ction .0900 (Contract e d 
Inpatient Psychiatric Services for Children. 
Adole s cent. Adult, and Elderly Individual s 
Who Ar e M e ntally 111); or 

(3} a writt e n agr ee m e nt b e tw ee n th e area pro 

gram and a s tate psychiatric hospital accord 
ing to the provisions of 10 NCAC — I-8P 
S e ction . 1000 (Contract e d Stat e Hospital 
Psychiatric Inpati e nt S e rvic es for Childr e n. 
Adole s cent. Adult and Elderly Individuals 
Who Arc Mentally 111), 
(b) Each area program shall mak e provision for th e acc ess ibil 

ity of inpati e nt psychiatric s e rvic e s for both voluntary and 

involuntary patients. 

— (e-) — Services to involuntary patients shall bo provided in 

accordanc e with th e area program' s plan for us e of community 

and ar e a faciliti e s, as approv e d by th e Division. 

Statutory Authority G.S. 143B-147. 



SECTION .0600 - PROVISION OF PSYCHOSOCIAL 

REHABILITATION PROGRAMS FOR 

EVDIVIDUALS WHO ARE CHRONICALLY 

MENTALLY ILL OR PROVISION OF 

PARTIAL HOSPrTALIZATION 

SERVICES FOR INDIVIDUALS WHO 

ARE ACUTELY MENTALLY ILL 

.0607 SCOPE 



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559 



PROPOSED RULES 



-fa-) — A psychosocial rehabilitation program is a day program 
which i s designed to provid e a n e twork of s e rvices primarily for 
chronically mentally ill individual s . — Th e n e twork is organiz e d 
around and delivered through membership in a poor support 
group. — The goal of the program is to help members to meet 
their n ee ds and d e velop th e ir abilities for ind e pend e nt oommu 
nits living. 

-fb-) — Partial hospitalization services are day programs which 
have as their purpose the prevention of psychiatric hospitalize 
tion for individuals who are acut e ly mentally ill by providing 
int e nsiv e altomatiy o treatment, in a therap e utic mili e u s e tting, 
for a substantial part of the day. 

(e) The provision of both services is desired in order to meet 
the needs of th e m e ntally ill. 

Statutory Authority G.S. 143B-147. 

.0608 PROVISION OF SERVICES 

Each ar e a program shall provid e at l e ast: 



-ffi 



a psycho s ocial rehabilitativ e program primar - 



ily for chronically mentally ill individual s 
licen se d according to the provision of 10 
NCAC ML .0100 (Psychosocial R e habilita 
t+ve — Programs for Individual s Who — Afe 
Chronically Mentally 111): or 

-f2-) a partial hospitalization program for acutely 

m e ntally ill individuals lic e ns e d according to 
th e provisions of 10 NCAC ML .0300 
(Partial Hospitalization for Individuals Who 
Arc Acutely Mentally 111). 



available for a minimum of eight hours p e r day (exclusive of 
transportation tim e ), fiv e days p e r yv ee k. 12 months p e r y e ar. 

Statutory Authority G.S. 122C-51; 143B-147. 

.0704 STAFF REQUIREMENTS 

-fa-) — Staff shall provid e continuous sup e rvision of e ach child. 
-fb4 — A minimum of two s taff m e mb e rs shall provid e direct 
child care at all times. 

(c) A minimum of one direct child care staff member shall be 
on duty for each five children. 

(d) A minimum of on e c e rtifi e d t e ach e r yvho holds certification 
in special e ducation, early childhood education or elementary 
education s hall be emp l oyed for each 20 children or less. — When 
infants and toddl e rs ar e s e rv e d, th e prof e ssional responsibl e for 
fulfilling thi s requirem e nt s hall b e privileg e d in accordanc e v , ith 
the requirements of P.L. 00 4 57. — Thi s adoption by reference 
is in accordance with G.S. 150B 1 4 (c). 

-fe4 — If infants ar e serv e d, a minimum of on e dir e ct car e staff 
member shall b e on duty for e ach three infants. 

Statutory Authority G.S. 143B-147. 

.0705 DIRECTOR 

-fa-) — Each developmenta l day c e nt e r s hall hav e a d e signated 
director. 

-f&) — The Director s hall hold a bachelor level degree with 
specialization in administration, education, s ocial yvork. nursing- 
p s ycho l ogy ' or a r e lat e d fi e ld or hav e comparabl e exp e ri e nc e 
and education. 



Statutory Authority G.S. 143B-147. 



Statutory Authority G.S. 122C-51; I43B-147 



SECTION .0700 - DEVELOPMENTAL DAY 

SERVICES FOR PRESCHOOL 

CHILDREN WITH DEV ELOPMENTAL 

DISABILITIES OR DELAYS OR AT 

HIGH RISK FOR MENTAL RETARDATION, 

DEVELOPMENTAL DISABILrTIES OR DELAYS 



.0706 AGE OF STAFF 

Each staff member except student trainees and supervi s ed 
volunteers shall be at lea s t 1 8 years of age and the Director 
shall b e at l e ast 21 y e ars of ag e . 

Statutory Authority G.S. 122C-51; 143B-147. 



.0701 SCOPE 

A dev e lopm e ntal day s e rvic e i s a day night se rvic e which 
provides individual habilitative programming for pre school 
children yvith developmental disabilities or delay s or at high risk 
for m e ntal r e tardation, d e v e lopm e ntal disabilities or delays or 
atyp i cal d e v e lopm e nt in s pecialized lic e ns e d child car e c e nt e rs. 
It i s de s igned to meet developmental needs of the children such 
as self help, physical, language and speech, and cognitive and 
p s ychosocial skill s in ord e r to facilitat e th e ir functioning in a 
l e ss restrictiv e e nvironm e nt, as yv e ll as to moot child car e needs 
of families. It also offers family training and support and case 
management. 

Statutory Authority G.S. 143B-147. 



.0708 DAILY TRAINING ACTrVTTIES 

(a) Doily training activiti e s d e sign e d to moot th e d e v e lopm e ntal 
needs of e ach child shall b e sch e dul e d. 



(b) Activitie s s hall be planned around the follow 
f-H — 



loiplc 



ing principles: 
Group and individual activities, related to 



individual goal plan s , s hall b e sch e dul e d 
daily. 



-(3} Both free play and organized recreational 

activitie s shall be provided. — No more than 
one third of th e daily s ch e dul e shall b e d e sig 
nat e d for both of th e s e activiti e s combin e d. 

-(3) Field trip s and community experiences shall 

be coordinated yvith the goal plan s for indi 
vidua! children. 



.0703 HOURS OF OPERATION 

Developmental day services for preschool children shall be 



Statutory Authority G.S. 122C-51; 143B-147. 



560 



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10:7 



PROPOSED RULES 



.0709 GROUPING OF CHILDREN 

Grouping of children shall allow for attending to the individual 
noodo of oaoh child. Th e following principles ohall b e obs e rv e d 
wh e n grouping ohildren: 
(4^ the younger the children, the smaller the 

group; 
£2} th e mor e d e lay e d th e childr e n, th e s mall e r 

th e group; 
(3} the greater the number of phy s ically handi 

capped children, the smaller the group; and 
(4-) th e wid e r th e chronological ag e rang e , th e 

small e r th e group. 

Statutory Authority G.S. 122C-51; 143B-147. 

.0710 FAMILY SERVICES 

(a) Parents shall bo provid e d th e opportunity to obs e rv e th e ir 
child in the program. 

(b) The center shall provide or s ecure opportunities for parents 
to att e nd parent training s e minars. 

Statutory Authority G.S. 122C-51; 143B-147. 

.0711 FNTERDISCIPLINARY SERVICES 

Th e prof e ssional services of a social work e r, psychologist, 
languag e and communications th e rapist, phy s ical th e rapist and 
physician shall be utilized by the program in accordance with 
the needs of the population served. 

Statutory Authority G.S. 122C-51; 143B-147. 

.0712 MEDICAL STATEMENT 

Each staff member, student intern, regular volunteer, substitute 
staff m e mb e r or oth e r individual who work s directly and on a 
continuous basis with children s hall s ubmit to th e program at th e 
time of initial approval and annually thereafter a med i cal 
statement from a licensed physician. The medical statement may 
b e in any writt e n form but s hall b e s ign e d by th e physician and 



enhancing gro ss motor development. 
Statutory Authority G.S. 122C-51; 143B-147. 

.0714 OUTDOOR ACTIVITY SPACE 

Outdoor activity s pace s hall be available in the ratio of 200 
square feet per child s ch e dul e d to us e th e ar e a at any on e tim e . 

Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .0800 - ADULT DEVELOPMENTAL 

ACTIVITY PROGRAMS (ADAP) FOR 

CVDrVIDUALS WLTH SUBSTANTIAL MENTAL 

RETARDATION, SEVERE PHYSICAL 

DISABILITIES OR OTHER SUBSTANTIAL 

DEVELOPMENTAL DISABn.nTES 

.0801 SCOPE 

— (*) — An adult d e v e lopm e ntal activity program (ADAP) is a 
day/night se rvic e which provides organiz e d d e v e lopm e ntal 
activities for adults with substantial mental retardation, severe 
physical disabilities or other substantial developmental disabili 
ties to prepare th e individual to liv e and work as independently 
as possibl e . — Th e activiti e s and services of an ADAP are 
designed to adhere to the principle s of normalization and 
community integration aimed at increa s ing age appropriate 
actions, images, and app e aranc e of th e individual. 
—Qs) — An ADAP off e rs a div e rs e variety of sp e cific s e rvic e s 
and activities. These include vocational evaluation, vocational 
training, remunerative employment, personal and community 
living s kill d e v e lopm e nt, adult basic education and long t e rm 
support, follow up and case manag e m e nt. — Support s e rvices to 
clionta' families and consultation with the clients' employers and 
other involved agencies may also be provided. The amount of 
tim e d e voted to th e s e ar e as var ie s consid e rably d e pending upon 
the needs of th e cli e nts served. 

(c) Support services to families and consultation with other 
involved agencies is also included, 
indicat e th e g e n e ral good physical and mental health of th e (d) The rules contain e d in this Section ar e applicabl e to thr ee 



individual and the lack of evidence of active tuberculosis and 
communicable diseases. — The program shall k e ep the most 
r e cent m e dical s tat e m e nt on fil e . 

Statutory Authority G.S. 122C-51; 143B-147. 

.0713 CLASSROOM AND ACTIVITY SPACE 

-(a-) — A ratio of 50 square feet p e r child o hall b e availabl e for 
indoor classroom and activity spac e , e xclusiv e of space oocu 
pied by sinks, lockers, storage cabinet3, and other fixed 
equipment. 

(b) Space shall b e availabl e for small group s and individual 
iz e d training: 

(+) Special int e re s t areas shall be provided to 

enhance the development of individual chil 

Spac e for indoor physical activiti e s shall b e 



sp e cific mod e ls of ADAP s e rvic e s as follows: 

W ADAP Facility Based. — The majority of the 

ADAP activities in this model, whether vocational 
or d e v e lopmental in natur e , ar e carri e d out on th e 
pr e mis e s of a sit e sp e cifically d es ign e d for this 
purpose. 

(3) ADAP — Supported Employment. The only ADAP 

services provid e d by th e op e rator ar e thos e r e lat e d 
to support e d e mploym e nt. — All of th e training 
activities in this model occur in the setting at the 
location where the client actually work s or lives, 
not in a s p e cializ e d facility maintain e d by th e 



-m- 



Long Term 



-Oh 



availablc for the provision of those activitie s 



operator. 

ADAP Supported Employment 

Support. — Clients served in thi s model have success 
fully compl e t e d th e intensive initial training pha se 
of support e d e mployment wh i ch i s s pon s or e d by 
and the re s ponsibility of the Division for Vocational 



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561 



PROPOSED RULES 



Rehabilitation Services. — They arc receiving those 
long term rupport s e rvic es which are targ e t e d 
towards maintenanc e in th e job and r e sid e ntial 
setting and independent functioning in the commu 
nity. Those are services which are the re s pon s ibil 
ity of th e Division. — Exampl e s of such long t e rm 
support servic e s includ e — "refresh e r" — vocational 
training to ensure that existing job s kills are not 
lost, training in new job performance expectation s , 
community living skill training, and consultation to 
other e mployees, employ e rs, and famili es , and 
residential program staff. 
— fe-) — A single facility may operate more than one of these 
modois. Rules .0817. .0 8 1 8 . .0 8 19. .0821 through .0835 ar e 
applicable to all thre^ mod e ls. — Th e r e maining rules ar e 
applicable to the individual model as indicated in the rule 
catchlines. — Whatever the model provided, it is the ADaP 
servic e that is subj e ct to c e rtification, not th e location of th e 
busin e ss or organization wher e th e cli e nt is plac e d for work. 

Statutory Authority G.S. 122C-26; 143B-147 

.0802 COMPLIANCE REVIEW 

— (*) — An ADAP that is accredited by the Commission on 
Accreditation of Rehabilitation Facilities (CARF) in the Activity ' 
S e rvic e track or an ADAP which al s o incorporat e s work 
activity training in its program and which is accredit e d by 
CARF in the Activity Service and Work Adju s tment or Work 
Service tracks shall be reviewed for compliance with 10 N'CAC 
18K (Contract Agency Manag e m e nt Standards) and 10 NCAC 
18L (Program Compon e nt Op e rational Standards) according to 
th e provisions of this Section as follows: 

f44 Each ADAP which i s operated by the area program 

s hall comply with 10 NCAC 1 8 L .0^131: .0703; 
.0705; .0806; and .1307. contain e d in Divi s ion 
publication. Standards for Area Programs and Their 
Contract Agencies. APSM 35 I: 

(-3-) Each ADAP which i s und e r contract with an ar e a 

program: 

(-A4 shall comply with: 

th 10 NCAC 18D 012 4 . contained in Division 

publication. Confid e ntiality 1 Rul e s. APSM 15 
1; and 10 NCAC 181 .0120: 18K .01 il; 1 8 L 
4 3 4 : .0703: 0705; .0806; and .1307. 
contained in Divi s ion publication. Standards 
for Area Program s and Th e ir Contract Ag e n 
ci es . APSM 35 1 : 

(ttf 10 NCAC 18L .022 4 and .051 1, if the s e are 

not addressed in the contract with the area 
program; 

fB) shall maintain cli e nt r e cord docum e ntation; and 

fC-) may, at the di s cretion of the area program, be 

deemed — in compliance with the rules in this 
S e ction. 

(-34 Each ADAP. wh e th e r op e rat e d by th e ar e a pro 

gram, or und e r contract with an area program, 
shall be reviewed for compliance with Rule .0817 



in this Section. 
— (b) Th e ADAP shall submit 10 th e funding ag e ncy a copy of 
its moot r e c e nt CARF Facilitie s Surv e y R e port, and. if applica 
ble. the Plan of Compliance and subsequent notice of CARF' s 
acceptance of the correction made in accordance with the plan. 

Srarurory Authority G.S. 143B-147. 

.0803 POPULATION SERVED 

— Each ADAP shall b e d es ign e d primarily to s e rv e individuals 
who ar e 16 y e ars of ag e or older. 

Statutory Authority- G.S. 143B-147. 

.0817 CLIENT ELIGIBILITY 

— Clients served shall — be eligible for ADAP grant in aid 
regardless of financial re s ources with the exception of a client 
whos e work e arnings e xceed one half th e f e d e ral statutory 
minimum wag e ov e r a cons e cutiv e 90 day period. — With prior 
approval of the appropriate area director or designee, clients 
who are participating in a s upported employment program 
authorized by th e Division mav hav e e arning s in e xc e ss of 

on e half th e — minimum — wag e . Eligibility — for cli e nts — m 

non supported — e mployment — s etting s — whose — e arning s — have 
exceeded over one half the minimum wage for over 90 consecu 
tiv e days may b e extend e d for up to on e calendar y e ar if 
s upport e d e mploym e nt options are not availabl e locally and the 
client is ineligible for other services from the Division of 
Vocational Rehabilitation, or if the client's social, behavioral or 
vocational s kill d e ficits pr e clud e participation in supported 
e mploym e nt option s and r es ults in — in e ligibility — for othor 
vocational rehabilitation s ervices. The eligibility extension shall 
occur through the existing client recertification process carried 
out by the d e signat e d ar e a program qualified developm e ntal 
disabiliti e s prof e ssiona l (QDDP) a s r e f e r e nc e d in 10 NCAC 
18M 0800 — Reque s ts for the extension shall be based on a 
joint case review involving a repre s entative of the involved 
ADAP. th e local VR unit and th e area program. Th e r e qu e st 
shall identify th e s p e cific s kill d e ficits pr e cluding e ligibility 1 for 
supported employment or outer vocational rehabilitation services 
and include plans for addressing these deficits. The certification 
e xt e nsion may be reappl i ed for a maximum of two times only. 
Th e same crit e ria and proc e dur e s shall be follow e d in e ach 
instance of rcapplication as are required for the initial exten s ion. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0818 ADMISSION CRITERIA AND 
PROCEDURES 

(*) — Each ADAP s hall hav e an admissions committee. 

(b) — A pr e admi ss ion s taffing s hall b e h e ld for e ach client 
considered for admi ss ion to the ADAP. — During the staffing, 
the committee s hall con s ider information available regarding the 
cli e nt's m e dical, psycho l ogical and s ocial histon e s. 
— tc) Results of th e pr e admission s taffing shall b e docum e nted 
and forwarded to the referral agency. — A representative of the 
ADAP admissions comm i ttee shall notify the client. 



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—(d) — Each ADAP shall have writton admission policies and 

proc e dures which shall include at least th e following: 

(4) Eaoh cli e nt shall b e r e f e rred to the Division of 

Vocational Rehabilitation Services with writton 

documentation of this referral. 



Statutory Authority G.S. 122C-26; 143B-147. 
.0829 SAFETY EDUCATIONAL PROGRAM 



-(2) A qualifi e d developmental disabiliti e s professional Each ADAP faoility not subj e ot to lic e nsur e und e r G.S. 122C, 



of th e ar e a program shall: 
-(A) — obtain a recommendation from the vocational 

rehabilitation counselor for placement in the 

ADAP; and 
-(B) certify th e eligibility of e aoh oliont for th e ADAP 

service, talcing into consideration at least the 

provision of fb) and (d)(1) and (2) of this Rule. 



Statutory Authority G.S. 122C-51; 143B-147. 

.0819 CLIENT HANDBOOK 

(a) Eaoh ADAP shall have a client handbook including, but 
not limit e d to, information about s ervic e s and activities. 
—(b) — The client handbook shall bo writton in a manner 
oomprchonsiblo to clients and reflective of adult status. 

(o) Eaoh oli e nt shall b e given a handbook and th e handbook 
shall b e reviewed with th e cli e nt. 

Statutory Authority G.S. 122C-51; 143B-I47. 

.0824 ANNUAL ADAP ASSESSMENT 

Each ADAP shall conduct an annual internal assessment of 
the program's compliance with the standards and shall develop 
a written plan of aotion that addr e ss e s e aoh identifi e d d e fioi e noy. 

Statutory Authority G.S. 122C-51; I43B-147. 

.0825 PHYSICAL PLANT REQUIREMENTS 

Each ADAP facility not subj e ct to lic e nsur e und e r G.S. 122C, 
Article 2 shall comply with the provision s of 10 NCAC 1 4 M 

Statutory Authority G.S. 122C-26; 143B-147. 

.0826 PROGRAM DIRECTOR 

— Eaoh ADAP faoility not subj e ot to lic e nsur e und e r G.S. 122C, 
Articl e 2 shall comply with th e provi s ion s of 10 NCAC MM 
7©606t 



Articl e 2 shall comply with th e provisions of 10 NCAC MM 

tOWOt 

Statutory Authority G.S. 122C-26; 143B-147. 

.0830 SAFETY COMMITTEE 

Each ADAP faoility not subject to licensure under G.S. 122C, 
Articl e 2 shall oompiy with the provisions of 10 NCAC MM 
^644r 

Statutory Authority G.S. 122C-26; 143B-147. 

.0831 BUSEVESS PRACTICES 

— Each ADAP facility not subject to licensure under G.S. 122C. 
Article 2 shall comply with the provisions of 10 NCAC 1 4 M 
t0£43t 

Statutory Authority G.S. 122C-26; I43B-147. 

.0832 ACCIDENT REPORTING 

— Eaoh ADAP facility not subj e ot to lic e nsur e und e r G.S. 122C, 

Articl e 2 s hall oompiy w i th the provisions of 10 NCAC 1 4 M 

Statutory Authority G.S. 122C-26; 143B-147. 

.0833 PROMOTION OF CLIENTS' RIGHTS 

— Eaoh ADAP faoility not subj e ot to lic e nsur e und e r G.S. 122C, 
Artiol e 2 shall oompiy with th e provisions of 10 NCAC HM 

Statutory Authority G.S. 122C-26; 143B-147. 

.0834 USE OF PUBLIC TRANSPORTATION 
BY CLIENTS 

Eaoh ADAP facility not subj e ot to lio e noure und e r G.S. 122C, 
Artiol e 2 s hall oomp i y with th e provisions of 10 NCAC MM 
t0644t 



Statutory Authority G.S. 122C-26; 143B-147. 

.0827 CLIENT EVALUATOR 

Each ADAP facility not subject to licensure under G.S. 122C. 
Articl e 2 shall oompiy with th e provisions of 10 NCAC MM 

■Mm, 



Statutory Authority G.S. 122C-26; 143B-147. 

.0835 SUSPENSIONS AND DISMISSALS 

— Each ADAP facility not subject to licensure under G.S. 122C, 
Artiol e 2 s hall oompiy with th e provisions of 10 NCAC MM 



Statutory Authority G.S. 122C-26; 143B-147. 

.0828 ACTIVniES AND SERVICES 

— Each ADAP facility not subject to licensure under G.S. 122C, 
Article 2 shall comply with the provisions of 10 NCAC 1 4 M 



Statutory Authority G.S. 122C-26; 143B-147. 

.0836 FACILITY BASED ADAP: HOURS 
OF OPERATION 

Each ADAP facility not sub j eot to licen s ure under G.S. 122C, 



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Article 2 shall comply with tho provisions of 10 NCAC 1 4 M 

,©64Sr 

Statutory- Authority G.S. 122C-26; 143B-147. 

.0837 FACILITY BASED ADAP: CLIENT/ 
STAFF RATIOS 

Each ADAP facility not subject to licensure under G.S. 122C, 
Article 2 shall comply with tho provisions of 10 NCAC 1 4 M 

Statutory Authority G.S. 122C-26; 143B-147. 

.0838 SUPPORTED EMPLOYMENT/LONG 

TERM SUPPORT: CLIENT/STAFF RATIOS 

Each ADAP facility not subject to licensure under G.S. 122C, 
Article 2 shall comply with tho provisions of 10 NCAC MM 
^620r 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0900 - ALCOHOL AND DRUG 
EDUCATION TRAFFIC SCHOOLS (ADETS) 

.0901 SCOPE 

An alcohol and drug eduoation traffic school (ADETS) is a 
prevention and intervention s e rvic e which provid e s an e duoa 
nonal program primarily for first offenders convicted of driving 
while impaired as provided in G.S. 20 179(m). 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.0902 POLULATION SERVED 

Whil e each school shall bo design e d primarily to s e rv e first 
offend e rs oonvioted of driving whil e impair e d, provisions shall 
bo mado for family membors and other non students to attend 
classes if the instructor determines that th e ir presence will not 
disrupt th e class or result in class siz e exceeding th e maximum 
class siz e . 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.0903 CURRICULUM 

(a) School instructors shall use the curriculum specified in tho 
"Curriculum Manual for Alcohol and Drug Eduoation Traffic 
Schools" (division publication APSM 125 1, 130 1). 

(b) Th e program of instruction shall consist of not l e ss than 
ten hours of classroom instruction as specified in tho "Curricu 
lum Manual for Alcohol and Drug Eduoation Traffic Schools. " 
— (o) Each sohool may provid e up to thr ee additional hours for 
classroom tim e and such activiti e s as an initial stud e nt ass e ss 
mont. data gathering or a s ummary conference with students. 
Information regarding assessments is available in "Informatio n 
for- — Conducting — DWI — Substanc e — Abus e — Ass e ssm e nts and 
Providing Tr e atm e nt" (division publication APSP 125 2. 130 2). 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 



.0904 CLASS SCHEDULE 

— (a) Each sohool shall provide a writt e n notio e to e ach student 
referred by tho court as to tho time and location of all classes 
which the student is scheduled to attend. 

(b) Eaoh student shall bo s oh o dul o d to attend th e first and tho 
last class s e ssions in th e ord e r pr e scribed in tho curriculum 
manual. 

— fe) — Classes s hall bo scheduled to avoid the majority of 
e mploym e nt and e ducational conflicts. 

(d) Each school shall hav e a writt e n polioy which allows for 
students to be e xcused from assigned classes by tho instructor 
provided that tho excused absence is made up and docs not 
conflict with (b) of thi s Standard. 

( e ) No olooo session shall b e sch e dul e d or h e ld for more than 
throe hours excluding breaks on any day or evening. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.0905 CLASS SIZE 

— Class size shall be limited to a maximum of 35 persons. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.0906 DESTRUCTION CERTIFICATION 

— fa) — Each class shall hav e a d e signat e d instructor who is 
c e rtifi e d by th e Division. 
(b) An individual seeking initial certification as an instructor 

(4) b e a high school graduat e or its e quival e nt; 

f2-) hav e a working knowl e dg e of alcohol, oth e r drugs, 

and traffic safety issues; 

(3-) complete the application required by the Division; 

(4) submit — the — original — and — ene — oopy — te — the 

DWI/Criminal Justic e Branch of th e Division; 
f§) complete on initial in servico training program 

provided by the Division; and 

(6) demonstrat e s kill s by teaching all class e s. 

— fe-) — Th e Division shall notify' th e applicant of th e d e cision 

regarding initial certification within 60 days after receipt of tho 

application. 

— (d) Th e duration of full c e rtification shall b e for a maximum 

p e riod of two y e ars. 

(o) An applicant who does not obtain initial certification may 
bo issued a provisional certification, and shall bo: 
(44 inform e d as to th e s p e cific r e asons why full o e rtifi 

cation was d e ni e d; 
f2-) provided with eligibility requirements necessary to 

reapply for full certification; and 
(3-) inform e d regarding th e right to app e al th e o e rtifica 

tion d e cision. 
— (f) Roccrtification: 
(+) Individuals seeking reccrtification shall submit 

docum e ntation of having r e ceived a minimum of <\ % 

clock hours of training in alcohol and drug e duea 

tion traffic subjects during the two years, — T4ws 

training shall be presided or subject to approval by 



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-w- 



or non compliance. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

SECTION .1000 - DRUG EDUCATION 
SCHOOLS (DES) 

.1001 SCOPE 

A drug education school (DES) is a prevention and intervention 
The training shall be provid e d or approv e d by th e service which provides an educational program for drug 

off e nd e rs as provid e d in Chapt e r 90 of th e North Carolina 
Controll e d Substanc e s Act and R e gulations. 



the Division. Documentation of having received 
tbw — training — shaH — be — submitt e d — te — the 
DWI/Criminol Justice Branch at l e ast 30 days prior 
to expiration prior the existing certification. 

-(3) An individual seeking rocortification for each 

subs e quent two y e ar oyol e shall submit dooum e nta ■ 
tion of having r e c e iv e d 30 olook hours of training 
in alcohol and drug education traffic subjects during 
the preceding two years; 



Division; and 

Documentation of this training 3hnll bo submitted to 



the D\WCrimina] Justice Branch of the Division at 

least 90 days prior to e xpiration of th e e xisting 

oortifioation. 
(g) Revocation or suspension of certification may bo issued 
for failure to: 
(4) oov e r the r e quir e d oubj e oto outlin e d in th e pr e 

soribod ourrioulum; 
(2) maintain accurat e student records; 



-(44- 



Statutory Authority G.S. 90-96; 90-96.01; 90-113.14; 143B-147. 

.1002 POPULATION SERVED 

(a) Eaoh school shall b e d e sign e d primarily to s e rv e individu 
als who aro using drugs at the experimental, social recreational 
or abusivo levels, but who are not drug dependent or engaged 
in drug d e aling. 

(b) First off e nders r e f e rr e d by th e oourt in aooordnno e with 
G.S. 90 96 and G.S. 90 113.1 4 (Conditional Discharges and 
Expunction of Records for First Offense) shall bo served. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113.14; 143B-147. 

.1003 OPTIONAL ENROLLMENT: NONCOURT 
REFERRED PARTICIPANTS 

duros of liaison with the court. Those procedures shall include Each sohool shall e stablish a written polioy r e garding partioipa 

at l e ast th e following: 

(4) the proo e dur e us e d to obtain r e f e rral of offend e rs 

from the court; 
(3) a provision that the school will notify each student Statutory Authority G.S. 90-96; 90-96.01; 90-113. 14; 143B-147. 

of the time, dat e , and location of assign e d olass e s; 
(3) th e proo e dure for notifying th e oourt of a student's 

successful completion of the course: 
(4) communicating to studonts in writing tho roquiro 

m e nts for successfully completing th e course and 

d e v e loping a proc e dure to notify th e oourt of 

noncomplianco cases, 
(b) Those proceduro s s hall be agreed upon and signed by tho 
designated employ e e of th e school and, if possibl e , by th e ol e rk 
of oourt, judg e and district attorn e y. 



comply with certification requirements; 

r e port to th e Division in a tim e ly mann e r, all 

stud e nts who oompl e t e tho proscrib e d oours e . 



Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.0907 COURT/DMV LIAISONS 

(a) Each school shall develop and implement written proco 



tion of p e rsons referred from other oouroos. 
shall bo enrolled on a space available basis. 



Those persons 



-(e)- 



Each — s choo l — shall — follow — the — proceduros — m 



"ADETS/DMV Liaison" [division publication APSR 125 2, 
130 2 (9/1/ 8 3)] adopt e d pursuant to G.S. 150B 1 4 (c), for 
r e porting oompliano e or non eompliano e and for att e nding 
Division of Motor Vehicles' revocation hearings for offenders 
on probation. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.0908 REFERRAL AND COMPLETION FORM 

The original Division of Motor V e hicl e s' oopy of e ach 
Aloohol and Drug Eduoation Traffio Sohool Ref e rral and 
Completion form (DMH 260 4 ) shall bo forwarded to the 
Division for review within two weeks after student compliance 



.1004 CURRICULUM 

(a) School instructors shall use tho curriculum specified in tho 
"North Carolina Curriculum Manual for Drug Education 
School s " (division publication APSM 130 2). 

(b) Th e program of instruction shall consist of not l e ss than 15 
hours of classroom instruction as specified in "Tho North 
Carolina Curriculum Manual for Drug Education Schools". 
-fe) — Eaoh sohool may provid e up to fiv e additional hours of 
aotivity for olassroom tim e and suoh activities as paront/ohild 
communication session, data gathering or a summary confer 
onco with students. 



Statutory Authority G.S. 90-96; 90-96.01; 90-113. 14; 143B-147. 
.1005 INITIAL ASSESSMENT 



Each school shall provide an initial assessment for each 
pot e ntial stud e nt prior to th e first olass session to d e t e rmin e 
wh e th e r th e student is eligible 'o att e nd th e sohool and to 
determine if referral to a troatmont resource is appropriate. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113. 14; 143B-147. 

. 1 006 CLASS SCHEDULE 



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(a) Each school ahull provide a written notice ? to oaoh student 
referr e d by the oourt ao to th e tim e and looation of all olass e s 
whioh the otudont io sch e duled to att e nd. 

(b) Each student shall bo scheduled to Qttond all sessions as 
described in the approved curriculum. 

—(e) — Class e s shall bo scheduled to avoid th e majority of 
employment and e duoational conflicts. 

(d) Each school shall have a written policy which allows for 
students to bo excused from assigned classes by the instructor 
provided that the e xcus e d absonoo is mad e up and does not 
conflict with (b) of this Standard. 

-(e) — Students shall have an opportunity to complete classos 
within the 150 day time limit for the course specified in G.S. 
90 96 and 90 1 13. H (Conditional Discharg e s and Expunotion 
of R e cords for First Off e ns e ). — Th e oours e instuctor shall 
monitor the 150 day time limit and notify tho court if the 
student does not complete the school within that time limit. 

(f) No class s e ssion shall b e sch e dul e d or hold for more than 
thre e hours e xcluding br e aks on any day or e vening. 



Statutory Authority G.S. 90-96; 90-96.01; 90-113. 14; 143B-147. 

SECTION .1100 - INPATIENT HOSPITAL 

DETOXIFICATION SERVICES FOR 

PNDIVIDUALS WHO ARE ALCOHOL 

OR OTHER DRUG ABUSERS 

.1101 SCOPE 

Inpatient hospital detoxification is an inpatient substance abuse 
service in a hospital sotting for individuals in need of alcohol or 
oth e r drug detoxification who cannot b e saf e ly withdrawn from 
alcohol or oth e r drugs in any sotting oth e r than in a hospital. 
Those are individuals who have physical problems that may 
become life threatening and who may also have accompanying 
psychiatric or b e havioral probl e ms. — M e dioal and psyohiatrio 
servic e s are provided a s necessary to support d e toxifioation of 
tho individual. 

Statutory Authority G.S. 143B-147. 



Statutory Authority G.S. 90-96; 90-96.01; 90-113.14; 143B-147. 

.1007 CLASS SIZE 

-(-a-) — Class size shall b e limit e d to a maximum of 30 partioi 
pants; however, the affective education portions of tho class 
shall bo limited to a maximum of 20 participants, 
(b) Provisions shall b e mad e for family m e mb e rs and guard 
ions of stud e nts to audit classes; how e v e r, suoh individuals shall 
not bo counted in the maximum class size. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113. 14; 143B-147. 

,1008 FNSTRUCTOR CERTIFICATION 

Each class shall have a designated instructor who is certified by 
tho Division. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113.14; 143B-147. 

.1009 COURT LIAISON 

(a) Each s chool shall develop and implomcnt written proco 
dures of liaison with th e court. Th e s e proc e dur e s shall includ e 
at l e ast th e following: 



4M- 



-m- 



th e procedure used to obtain referral of 
offenders from the court; 
a provision that the school will notify e ach 
stud e nt of th e tim e , dat e , and looation of 
assigned classes; 

-(3) the procedure for notifying tho court of a 

stud e nt's — succ e ssful — compl e tion — ef- — the 
cours e ; 



-W- 



communicating to students in writing tho 



requirements for successfully completing tho 

oours e and developing a proc e dur e to notify 

th e court of noncomplianc e ca s e s . 

(b) Those procedures shall bo agreed upon and signed by tho 

designated employee of tho school and, if possible, by the clerk 

of oourt, judg e and district attorney. 



. 1 1 02 POPULATION SERVED 

Inpatient hospital dotoxification services shall bo designed to 
servo sub9tanoc abusers who are in need of hospital medical or 
psyohiatrio car e whil e undergoing detoxifioation. 

Statutory Authority G.S. 143B-147. 

. 1 1 03 PROVISION OF SERVICES 

Th e ar e a program shall provid e inpati e nt hospital d e toxifioation 
s e rvic e s by on e or mor e of th e following: 
(4-) an inpatient hospital operated by tho area 

program; 

a written agr ee m e nt b e tw e en th e area pro 



-m- 



-m- 



gram and a general hospital, privat e hospital 
or inpatient hospital operated by another area 
program; or 
a writt e n r e f e rral procedure to a g e n e ral 



hospital or privat e hospital. 
Statutory Authority G.S. 143B-147. 

. 1 1 04 AREA OPERATED SERVICES 

Wh e n inpati e nt hospital d e toxification s e rvioos are op e rat e d by 
tho area program, the facility s hall be licensed as a hospital. 

Statutory Authority G.S. 143B-147. 

.1105 AREA PROGRAM WRITTEN AGREEMENTS 

\Vhen inpatient hospital detoxification sorvicos are provided by 
written agreement with a private or general hospital, tho written 
agr ee ment shall be d e v e lop e d b e tw ee n th e ar e a program and tho 
s e rvice provid e r which shall sp e cify' at l e ast tho following: 
■+) criteria for service availability for area 



-W- 



-m- 



pro 



gram patients; 

r e sponsibilities of both parties r e lat e d to 

admission, tr e atm e nt and discharg e of pa 

tionts; 



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-Q) parties responsible for tho operation of tho 

d e toxifioation servio e ; 
-f4) roGponoibilitioo of e aoh part)' regarding oonti 

nuity of service for patients discharged from 

tho detoxification service; and 
-^5} provinion for th e e xohang e of information 

b e tw ee n tho ar e a program and th e inpati e nt 



Statutory Authority G.S. 143B-147. 

. 1 106 REFERRAL TO A TREATMENT AND 
REHABILITATION PROGRAM 

Each patient who has completed detoxification shall bo roforrod 
to an outpati e nt or resid e ntial tr e atm e nt and rehabilitation 
program. 

Statutory Authority G.S. 143B-147. 

SECTION .1200 - PROVISION OF SOCIAL 

SETTING: NONHOSPITAL MEDICAL OR 

OUTPATIENT DETOXIFICATION SERVICES 

FOR INDIVIDUALS WHO ARE ALCOHOLICS 

.1203 SCOPE 

Detoxification is a basic service of tho alcohol and drug abuse 
troatmont systom for individuals in need of alcohol or other 
drug abus e d e toxifioation. 

Statutory Authority G.S. 143B-147. 

.1204 PROVISION OF SERVICES 

Eaoh area program ohall provid e or s e our e at l e ast on e of th e 
mod e ls of sooial sotting, nonhoopital m e dioal or outpati e nt 
detoxification services as delineated in 10 NCAC 1 4 N .0200. 
.0300 and .0 4 00. 

Statutory Authority G.S. 143B-147. 

SECTION .1300 - FORENSIC SCREENING 

AND EVALUATION SERVICES FOR 

INDIVIDUALS OF ALL DISABILITY GROUPS 

.1302 POPULATION SERVED 

Forensic services shall bo designed to serve offenders and 
allogod off e nders roforrod by tho criminal justice systom by 
oourt ord e r. 

Statutory Authority G.S. 143B-147. 

.1303 FORENSIC SCREENING AND 
EVALUATION 

Forensio scr ee ning and evaluation to ass e ss oapaoity to proo ee d 
to trial shall bo provided by ovaluators trained and registered in 
accordance with tho provisions of 10 NCAC 1 8 F .01 15 through 
.0122; TRAINING AND REGISTRATION OF FORENSIC 
EVALUATORS (Division publication APSR 100 3). 



Statutory Authority G.S. 15A-1002; 143B-147. 

.1304 CONSULTATION TO LAW 
ENFORCEMENT OFFICIALS 

Consultation to law enforcement officials, including consulta 
bon prior to tho commitment of an offender or alleged offender 
to any otato psyohiatrio hospital, shall be provided. 

Statutory Authority G.S. 143B-147. 

.1305 JUSTICE TREATMENT SERVICES 

(a) Eaoh area program shall d e velop and impl e m e nt a writt e n 
justic e tr e atm e nt services plan whioh shall provid e for th e 
coordination of aroa program court related activities with tho 
criminal justice system. 

(b) An individual shall b e d e signat e d who has r e sponsibility 
for developing and impl e m e nting the justioo tr e atm e nt s e rvio e s 

Statutory Authority G.S. 143B-147. 

SECTION .1400 - EARLY CHILDHOOD 

INTERVENTION SERVICES (ECIS) FOR 

CHILDREN WITH MENTAL RETARDATION 

OR AT HIGH RISK FOR MENTAL 

RETARDATION OR OTHER DEVELOPMENTAL 

DISABILITIES OR DELAYS 

.1401 SCOPE 

—(a) — An early childhood intervention service (ECIS) is a 
periodic service designed to promote tho developmental growth 
of a child who is m e ntally r e tard e d or oth e rwis e d e v e lopmon 
tally disabled or d e lay e d or who has atypioal d e v e lopm e nt or is 
at high risk for mental retardation, developmental disabilities or 
dolays or atypioal development. In addition, it provides families 
with support and information on ohild r e aring skills and 
manag e m e nt, and s e rvio e s and resouroos availabl e to th e ohild 
and family. — Tho service provides, on a regularly scheduled 
basis, comprohonsivo assessment and proscriptivo developmental 
programming in suoh ar e as as oognitiv e , languag e and oommu 
ruoation, physical, s e lf h e lp, and psychosocial skill d e v e lopm e nt 
in the client's homo which may bo supplemented by individual 

or group sorvico s at other sitos. This service provides 

oas e sp e cific and g e n e ral follow up and consultation to other 
pr e school programs. Cos e manag e ment is also a compon e nt of 
this service. 

(b) The primary methodology of s ervice delivery is periodic 
(usually weekly) homo visits whioh may b e suppl e m e nt e d by 
group or individual activiti e s at sites other than th e child's 
homo. 

Statutory Authority G.S. 143B-147; 20 USC 1471. 

.1402 PROGRAM DIRECTOR 

— Each ECIS shall have a designated program director who 
holds at l e ast a baccalaur e at e d e gr ee in a fi e ld r e lat e d to 
d e v e lopmental di s abil i tie s , or is r e gist e r e d to practic e as a 



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registered nurse in the Stnto of North Carolina, and who has at 
least ono yoar'o e xp e ri e nce in s e rvic e s for infante or toddl e rs 
with or at riok for dev e lopmental delays or atypical d e v e lop 
mont. — This includoa, but is not limited to early childhood 
education, child development, or special education. 

Statutory Authority G.S. 122C-51; 143B-147; 20 USC 1471. 

.1403 INTERDISCIPLINARY ECIS STAFF 

— f*) — At least on e m e mber of th e ECIS staff shall b e an 
individual who holds a d e gre e m e ducation or e arly childhood 
development. 

(b) The disciplines of social work, physical therapy, occupa 
tional therapy and m e dicin e shall b e r e pr e s e nt e d on th e staff in 
r e spons e to th e docum e nt e d needs of th e children and families 
served. — Those disciplines may bo represented by staff mem 
ber s . consultant staff, or through agreements with staff of other 
ag e nci e s. 

— (e) — Assessments shall b e conduct e d in accordanc e with 10 
NCAC 14K .0314. 

Statutory- Authority G.S. 143B-147; 20 USC 1471. 



,1405 INDIVIDUAL TREATMENT/ 
HABBLITATION PLAN 

An individual treatmont/habilitation plan shall b e d e v e lop e d in 
the same format and content as that required by 10 NCAC 1 4 K 
,0*44- 



— Each ECIS shall provide or secure training in behavior 
manag e m e nt t e chniqu e s for parents in n ee d of ouoh s e rvio e s. 

Statutory Authority G.S. 122C-51; 143B-147; 20 USC 1471. 

.1410 FOLLOW-ALONG 

— Follow along shall b e provided semi annually for one y e ar on 
behalf of children who have boon discharged from the ECIS. 

Statutory Authority G.S. 122C-51; 143B-147; 20 USC 1471. 

SUBCHAPTER 18N - OPTIONAL SERVICES 

FOR CSTDIVTDUALS OF 

ALL DISABILITY GROUPS 

SECTION .0100 - EMPLOYEE ASSISTANCE 
PROGRAMS (EAP) 

.0105 SCOPE 

— An employee assistance program (EAP) is an assessment 
service which provides early identification, motivation, and 
r e f e rral for individuals with poor job performanc e in any given 
work se tting du e to a vari e ty of personal situations including 
alcohol and drug related problems, family and marital prob 
l e ms. and emotional and psychological problems. The service 
is off e r e d in partn e rship with e mploy e rs with whom th e area 
program has a writt e n agreement and provid e s employee 
education, supervisory training, referral, follow up and program 



Statutory Authority G.S. 122C-51; 143B-147: 20 USC 1471 Statutory Authority G.S. 143B-147. 



.1406 LANGUAGE/COMMUNICATION AND 
HEARING SERVICES 

— Each ECIS shall provid e or secure languag e , communication 
and hearing services for each child in need of such service. 
This service shall include assessment, programming, proscrip 
tion, monitoring and sp e cializ e d diagnostic s e rvic e s. 



.0106 POPULATION SERVED 

Each EAP shall b e design e d to s e rv e individuals who have 
p e rsonal probl e ms w hioh affeot or pot e ntially aff e ct th e ir job 
performance. 

Statutorx Authority G.S. 143B-147. 



Statutory Authority G.S. 122C-51; 143B-147; 20 USC 1471. 

. 1 407 PHYSICAL THERAPY SERVICES 

Each ECIS shall provid e or s e cur e physical th e rapy servic e s 
for each child in need of such services. — These services shall 
include assessment, programming, proscription monitoring, and 
sp e cializ e d diagnostic s e rvic e s. 

Statutory Authority G.S. 122C-51; 143B-147; 20 USC 1471. 

. 1 408 PARENT COUNSELING SERVICES 

— Each ECIS shall provide or s ecure couns e ling s e rvic e s for 
parents in need of such services. 

Statutory Authority G.S. 122C-51; 143B-147; 20 USC 1471. 

.1409 BEHAVIOR MANAGEMENT TRAINING 
FOR PARENTS 



.0107 STAFF REQUIRED 

— An individual shall bo designated who has the responsibility 
for planning and impl e m e nting e mploy ee assistanc e programs 
with e mploy e rs from both th e public and privat e s e ctor. 

Statutory Authority G.S. 143B-147. 

0108 WRITTEN AGREEMENT 

The EAP shall implement, within the constraints placed on i t 
by the employer firm, a written agreement with community 
e mploy e rs which incorporat e s th e following: 
—444 a written formal policy stat e ment promulgat e d by th e 

community employer which defines the intent of the 

program; 
— {2) id e ntification of a program administrator by th e 

community e mploy e r who will s e rv e as liaison 

between the employer and the EAP; 
— (4) written procedure s to be used by the community 



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-&- 



omployor in implementing its EAP; 

written procedures to b e uood by th e EAP to carry 

out the sorooning and r e f e rral proo e oo; and 

a statement assuring the community omployor that the 

EAP shall comply with the confidentiality regulations 

oodified in 10 NCAC 1 8 D (division publication 

APSM 41 1). 



Statutory Authority G.S. 143B-147. 

.0109 TRAINING 

The EAP shall establish a training program to bo used in 
promoting the utilization of the program to include the provision 
of at l e ast two hours of supervisory training per year for all 
l e v e ls of manag e rs and sup e rvisors of community e mploy e rs. 

Statutory Authority G.S. 143B-147. 

.0110 AWARENESS PROGRAM 

The EAP shall implomont an ongoing employee awareness 
program to inform employees of the availability of services. 

Statutory Authority G.S. 143B-147. 

SECTION .0200 - SPECIALIZED 
FOSTER CARE SERVICES 



boarding home agreement with the county depart 
m e nt of oooial s e rvic e s or oth e r lioonood ohild oar e 
ag e noy. 

Statutory Authority G.S. 122C-51; 13 ID- 10; 143B-147; 
143B-153. 

.0206 APPROVED FOSTER HOMES 

— Each foster homo shall bo licensed by the Department of 
Human R e sourc e s and supervis e d by the oounty department of 
sooial s e rvic e s or oth e r lioonsod ohild care agency and shall 
moot the criteria for receipt of Title XX (P.L. 97 35) fostor care 
special services funds as specified in 10 NCAC 1 1F and J. — The 
crit e ria are availabl e for r e vi e w at e ach oounty d e partm e nt of 
sooial services' offic e . 

Statutory Authority G.S. 131D-10.3; 143B-147. 

.0207 SELECTION OF SPECIALIZED 
FOSTER PARENTS 

The selection of s pecialized fo s ter parents shall bo jointly 
approv e d by th e oounty d e partm e nt of oooial s e rvic e s or oth e r 
lic e ns e d ohild oar e ag e noy and th e area program. 

Statutory Authority G.S. 122C-51; 13 ID- 10; 143B-147; 
143B-153. 



.0204 SCOPE 

— Specialized foster core is a support service provided coopcra 
tiv e ly by th e ar e a program and th e local d e partm e nt of social 
services or oth e r licensed ohild oar e ag e noy for individuals with 
developmental disability who are in the custody of or whoso 
parents have entered into a boarding homo agreement with the 
local d e partm e nt of social services or other lic e ns e d ohild car e 
agenoy . — Individuals up to 21 y e ars of ag e may bo served if 
they are involved in an ongoing educational program provided 
by the public school system or an adult day service provided by 
an adult dev e lopm e ntal aotivity program or community oolleg e 
system. — Support activiti e s includ e funding, monitoring and 
evaluation, program coordination, parent training, development 
and implementation of individual treatment or goal plans, and 
consultation and t e chnical assistanc e . 



Statutory Authority G. S. 
143B-153. 



131D, Article 1A; 143B-147; 



.0205 POPULATION SERVED 

— (a) Specialized fo3tor care services of the area program shall 
bo dosignod to servo those individuals in whoso behalf area 
program funds ar e dir e cted to foster par e nts in e xchang e for th e 
provision of individualized pr e scriptiv e programming. 

(b) Individuals in whose behalf specialized fo s ter caro 
services are provided s hall bo: 
f4-) in th e l e gal custody of th e oounty department of 

oooial s e rvic e s or oth e r licensed ohild car e ag e noy; 

et 
(2) minors in whose behalf parents have ontored into a 



.0208 APPROVAL OF FOSTER CARE 
PLACEMENT 

— Final approval of fo o ter car e plac e m e nt shall b e a r e sponsibil 
it)' of the county department of social s e rvices or other licen s ed 
child caro agency. 

Statutory Authority G.S. 122C-51; 13 ID- 10; 143B-147; 
143B-153. 

.0209 PLACEMENT CARE AGREEMENT 

— fa} — Th e ar e a program shall negotiate a plac e ment oare 
agre e ment with the sp e cialized fost e r oar e parents in behalf of 
each individual for whom the area program contracts for 
specialized fostor caro services. 

(b) — Th e agr ee m e nt shall includ e provisions r e lat e d to th e 
following: 
(+) commitment by the foster parents to participate in 

needed treatment programs related to the foster 

plac e m e nt; 
(2) commitment from th e fost e r par e nts to participat e 

with area program staff in the development and 

implementation of individualized quarterly treatment 

or goal plana; 
(-3-) commitm e nt by th e fost e r parents to r e ce i ve oonoul 

tation and technical as s istance from the area pro 

gram; and 
(4} commitm e nt by the footer par e nt s that any d e ci s ion 

to t e rminate servic es s hall b e n e gotiat e d among th e 

fostor parents, the area program and county depart 

mont of social services consistent with the tormina 



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569 



PROPOSED RULES 



tion clause of the agreement. 

Statutory Authority G.S. 122C-51; 143B-147. 

0210 TRAINING FOR SPECIALIZED 
FOSTER PARENTS 

— fa-) — The ar e a program ohall assur e that s p e cializ e d foot e r 
parcnto have access to, and participate in, initial and ongoing 
training pertinent to the needs of the individual in their care, 
(b) Specialized foot e r parents s hall hav e e ducational pr e paid 
tion. training or e xp e ri e nc e identifi e d in th e Title XX Guideline s 
for Specialized Foster Care for Children with Special Needs. 
The guidelines are contained in Volume I, Family Services 
Manual, Chapter IV, S e otion 1219, which is availabl e through 
th e county d e partment of soc i al s e rvices. 



Statutory Authority 
1 '43 B- 153. 



G.S. 122C-51; 13 ID- 10; 143B-147; 



.021 1 STAFF RESPONSIBILITIES 

The area program 3 hall designate a staff member responsible 
for th e provision or arrangement of support activiti e s in b e half 
of each individual for whom th e area program contracts for 
foster care services. 



Statutory Authority G.S. 122C-51; 
143B-153. 



0212 



131D-10; 143B-147; 



SUPPORT ACTrvTTIES OF THE 
AREA PROGRAM 

Support activiti e s of the area program shall includ e th e 
following: 

( 1 ) assistance with funding, including billing preparation; 

— (£) monitoring and e valuation of o e rvioe activ i ti e s id e nti 

fied within th e plac e m e nt oaro agr e ement; 

(3) consultation and technical assistance; 

( 4 ) coordination of initial and ongoing training for 

sp e cializ e d foot e r par e nts; 

— {$) coordination of activitie s with th e county departm e nt 

of s ocial services or other licensed child care agency 
to a ss ure that consistent and mutually agreeable 
r e quir e m e nts ar e plac e d on th e fost e r par e nts; 

(6) facilitation of s pecialized support services for the 

foster family and child including day services, respite 
care, and continuing diagnostic and evaluation sor 
vic es , and 

— (4} assistanc e to th e count)' d e partm e nt of sooial s e rvic e s 

or other licensed child care agency in the event of 
change of fostor placement. 

Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .0300 - PREVENTION SERVICES 

FOR INDIVIDUALS OF 

ALL DISABILITY GROUPS 

.0305 SCOPE 



— Prevention services shall include information, consultation, 
e ducation and instruction for th e g e n e ral population. 

Statutory Authority G.S. 143B-147. 

,0306 STAFF REQUIRED 

The prevention servioo shall hav e a designated director. 

Statutory Authority G.S. 143B-147. 

SUBCHAPTER 18P - OPTIONAL SERVICES FOR 

INDIVIDUALS WHO ARE MENTALLY ILL OR 

EMOTIONALLY DISTURBED 

SECTION .0900 - CONTRACTED INPATIENT 
PSYCHIATRIC SERVICES FOR CHILDREN: 

ADOLESCENT: ADULT AND ELDERLY 
INDIVIDUALS WHO ARE MENTALLY ILL 

0901 SCOPE 

— An aroa board may enter into a written agreement with 
g e n e ral ho s pital s or privat e psychiatric hoopitalo for th e provi 
sion of inpati e nt psychiatno services for ohildr e n, adol e so e nt, 
adult and elderly individuals who are mentally ill. — Those 
s ervice s includ e 2 4 hour per day short term treatment, support 
iv e care, and close supervision, und e r th e direction of a 
psychiatrist. 

Statutory Authority G.S. 122C-51; 143B-147. 

.0902 POPULATION SERVED 

The inpatient psychiatric service shall be designed to provide 
services to individuals who require continuous treatment for 
mod e rat e or s e v e re m e ntal illn e se. Individuals who in addition 
to m e ntal illness hav e oth e r disord e rs, suoh ao mental r e taraV 
tion or s ubstanco abuse, s hall bo eligiblo for admission. — If the 
hospital is used for detoxification of alcoholics, then Standards 
.1101, .1102, .1101 and .1106 in 10 NCAC 18M .1100 
Inpatient Hospital Detoxification S e rvices For Individuals Who 
are Alcohol Or Other Drug Abusers shall apply. 

Statutory Authority G.S. 122C-51; 143B-147. 

.0903 AREA PROGRAM/HOSPrTAL 
AGREEMENT 

— (&) — A writt e n agr ee m e nt b e tw ee n th e area program and th e 
g e n e ral hospital or private psychiatric hospital shall b e d e v e l 
oped and shall specify at least the following: 
- — (4-) criteria for service availability for area program 

pati e nts; 
(2) responsibiliti es of both parti e s r e lat e d to admission, 

treatment, and discharge of patients; 
(^) parties responsible for the operation of the inpatient 

s e rvic e ; 
(4) responsibiliti e s of e ach party regarding continuity' of 

service for patients discharged from the inpatient 

service; and 



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PROPOSED RULES 



(§4 provision for the exchange of informft tieflr 

— fb) — When Gorviooo aro provid e d out of State, th e writt e n 
agr ee m e nt ohall bo approv e d by th e Division. 

Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .1000 - CONTRACTED STATE 

HOSPITAL PSYCHIATRIC INPATIENT 

SERVICES FOR CHILDREN: ADOLESCENT: 

ADULT AND ELDERLY 

EMDFVTDUALS WHO ARE MENTALLY ILL 

.1001 SCOPE 

An area board may e nt e r into a written agr ee m e nt with a 
proximate ctate hospital for th e provision of inpati e nt psychiatric 
services for children, adolescent, adult and elderly individuals 
who arc mentally ill. These services include 24 hour per day 
int e nsive treatment, supportiv e oaro, and clos e supervision, 
undor the direction of a psyohiatnst. 

Statutory Authority G.S 122C-51; 143B-147. 

.1002 POPULATION SERVED 

The inpatient psychiatric service shall bo designed to provide 
services to individuals who require continuous treatment and 
close sup e rvision for moderat e or severe m e ntal — illn e ss. 
Individuals who in addition to m e ntal illn e ss hav e oth e r disor 
dors, such as mental retardation or substance abuse, shall bo 
eligible for admission. 

Statutory Authority G.S. 122C-51; 143B-147. 



program in s ervices provided to area clients shall bo specified 
in th e agreement. — Th e agr ee m e nt shall sp e cify 1 ar e a staff roles 
and rol e s of th e hospital staff in admission to inpati e nt s e rvic e s, 
diagnosis and evaluation, development of the treatment plan, 
provision of treatment, — discharge planning and discharge 
decisions. — In addition, th e agr ee m e nt shall b e in oompliano e 
with admission rul e s for th e r e gional psychiatric hospitals of th e 
Division as codified in 10 NCAC 15 A Section .0100 VOLUN 
TARY ADMISSIONS, INVOLUNTARY COMMITMENTS 
AND DISCHARGES OF ADULTS FROM REGIONAL 
PSYCHIATRIC HOSPITALS and S e ction .0200 VOLUN 
TARY ADMISSIONS, INVOLUNTARY COMMITMENTS 
AND DISCHARGES OF MINORS TO AND FROM RE 
GIONAL PSYCHIATRIC HOSPITALS. 

Statutory Authority G.S. 122C-51; 143B-147. 

SUBCHAPTER 18Q - OPTIONAL SERVICES FOR 

INDIVIDUALS WHO ARE DEVELOPMENTAL 

DISABLED 

SECTION .0200 - BEFORE/ AFTER SCHOOL 

AND SUMMER DEVELOPMENTAL 

DAY SERVICES FOR CHILDREN WITH 

MENTAL RETARDATION OR OTHER 

DEVELOPMENTAL DISABILrTIES 

,0284 CROSS-REFERENCE TO INTRODUCTION 

— Before/after school and summer developmental day services 
not subj e ct to licensure undor G.S. — 122C, jArtiol e 2 shall 
comply with th e provisions of 10 NCAC 11M .0501. 



.1003 AREA PROGRAM/HOSPrTAL 
AGREEMENT 

(a) A writt e n agreem e nt b e tw ee n th e ar e a program and th e 
hospital shall bo dovolopod and shall specify at least the 
following: 
(44 orit e ria for servic e availability for ar e a program 

pati e nts: 
(3) provision of services to both voluntary and involun 

tary patients: 
(34 parties responsibl e for the op e ration of the inpatient 

s e rvic e : 
(4) responsibilities of each party regarding continuity of 

service for patients discharged from the inpatient 

s e rvic e : and 
($) provision for th e e xohang e of information, inolud 

ing at least a discharge summary, between the area 

program and the inpatient service, 
(b) — Wh e n s e rvic e s ar e provid e d out of Stat e , th e writt e n 
agr ee m e nt shall b e approv e d by th e Division. 

Statutory Authority G.S. 122C-51; 143B-147. 

.1004 AREA STAFF rNVOLVEMENT EV 
SERVICE PROVISION 

The involvement of clinical staff members of the area 



Statutory Authority G.S. 143B-147. 



.0286 



CROSS-REFERENCE TO HOURS 
OF OPERATION 

— Before/after school and summer developmental day services 
not subj e ct to lic e nsur e und e r G.S. 122C, Artiole 2 shall 
comply with th e hours of op e ration requir e m e nts d e lin e at e d in 
10 NCAC 1 4 M .0502. 

Statutory Authority G.S. 143B-147. 

.0287 PROGRAM REQUIREMENTS 

Each before/after school service or summer service shall 
comply with Standards .0701 through .0714, with th e e xc e ption 
of .0704(d) and ( e ), .0708(b)(2), and .071 1, of 10 NCAC 1 8 M, 
Section .0700, DEVELOPMENTAL DAY CENTERS FOR 
PRESCHOOL CHILDREN WITH MENTAL RETARDATION 
OR OTHER DEVELOPMENTAL DISABILITIES OR DELAYS 
OR AT RISK FOR MENTAL RETARDATION OR OTHER 
DEVELOPMENTAL DISABILITIES OR DELAYS. 

Statutory Authority G.S. 143B-147. 

SECTION .0500 - COMMUNITY RESPrTE 
SERVICES FOR EMDrvTDUALS WITH MENTAL 



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PROPOSED RULES 



RETARDATION, OTHER DEVELOPMENTAL 

DISABILITIES, DEVELOPMENTAL 

DELAYS OR AT RISK FOR THESE CONDITIONS 

.0520 SCOPE 

— fa-) — Community respite is a support 9eFvie e which provid e s 
p e riodic relief for a family or family substitut e on a t e mporary 
ten* — While overnight service is available, community respite 
mas - be provided to individuals for periods of less than 2 4 hours 
on a dav or e v e ning basis. 

(b) — Att e ntion to fee cli e nt's , e v e ryday nutritional, r e cr e ational, 
emotional, developmental and physical needs are elements of 
respite care The somcc is primarily a family support service 
rath e r than an hobihtativ e s e rvic e , however, such activities as 
training, th e rapy and m e dical tr e atm e nt, if provided, ar e ancil 
larv to fee provision of respite care 

ie i The following three models are examples of respite 

;i e rvic e; i 

*-1h c e nt e r based r e fut e is a support s e rvic e ui winch 

fee — individual — is served at a designated facility 
which has potential for overnight care — While an 
ov e rniglit capacity is . always a part of tins s e rvic e , a 
r e spit e — cent e r may. — m — addition. — provid e r e spit e 
services — to — individuals for periods of less — thee 
twenty four hours on a day or evening basis; 

(-3-) private hom e respite is a support servic e in which 

the ar e a program or its contract ag e ncy contracts 
with community citizens to serve individuals ui 
theu" own home on an overnight basis; or 

(-3-) companion r e spit e is a support s e rvic e in which a 

trained r e spit e provid e r is sch e dul e d to car e for the 
individual in a variety of settings, including the 
individual's own home or other location not subieet 
to lic e nsur e 

Statutory Authority G.S. 143B-147. 

0521 CROSS-REFERENCE TO POPULATION 
SERVED 

Each community respite service not sub|cct to licensure under 
<5-S — 122C. Article 2 shall comply with the provisions of 10 
NCAC 1 1M 1)702. 



Statutory Authority G.S. 143B-147 

.0540 COMPANION RESPITE: AGREEMENT 
WITH PROV TDERS 

— (-ft} — Unless outluied in a written iob desonption for providers 
or in wntt e n policies and proc e dur e s, e ach governing body shall 
have a written agreement sign e d bv each provid e r of private 
home respite care 

( b ) The provisions of the agreement shall specify the reoponsi 
biliti e s of th e gov e rning body and th e provider including: 

(-4-) confid e ntiality r e quir e m e nts. 

f2-l procedures for securing emergency services. 

(-?-) program activities to be unplemented; 

H-t responsibilities lor sup e rvising th e respite client. 

(S) proc e dures related to administration of medications. 

H^l participation in respite training programs. 

tD terms, of compensation. 



-t*4 



cli e nt rights, and 



(9) adli e r e nc e to ag e ncv policies and proc e dur e s 

ic) A signed copy of the agreement shall be maintained by the 
governing body, and u signed copy shall be given to the pro 
vid e r 

Statutory A uthority G.S. 1 43B- 147. 

.0541 COMPANION RESPITE: RESPONSIBILITIES 
OF GOVERNING BODY 

— Each governing body shall 

— (-H attempt to match fee client's needs with the provider's 

ability to provide respite services. 
— 1-2-) mak e availabl e to th e provid e r instructions r e garding 

duties and rciiponsibilities winch shall include, but 

need not be limited to 

(-a-) l e ngth of tun e for which s e rvic e will b e provided; 

fb} medications , to b e administ e r e d, and 



-&h 



4^ 



— special dietary considerations; and 
furnish wntten information to the provider, if the 
cli e nt is involv e d ui a d e v e lopm e ntal or occupational 
program, r e garding his responsibiliti e s for assuring 
thai the client attends the program and for structuring 
activities to enhance objectives established by the 
d e v e lopm e ntal or occupational program 



Statutory Authority G.S. 1 438- 1 47. 



Statutory Authority G.S. 143B-147. 



.0538 COMPANION SnTER: APPROVAL OF 
PROVIDERS 

Each governing body shall develop and implement wntten 
criteria for the approval of providers and the sites where services 
mov b e provid e d 

Statutory Authority G.S. 143B-I47. 

.0539 COMPANION SITTER: PROVIDER 
TRAINING 

— Each provider shall complete fee pre service training program 
prescribed bv fee governing Wxiv — Training may include a basic 
und e rstanding of d e v e lopm e ntal disabiliti e s . , fust aid and s e izur e 
manag e m e nt 



.0542 PROGRAM DIRECTOR 

Each commmntv respite service not suh)cct to licensure under 
GtS — I22C. Articl e 2 shall comply with th e provisions of 10 
NCAC MM .070 . ) 

Statutory Authority G.S. J43B-I47. 

.0543 FAMILY SERVICES COORDINATOR 

Each community r e spit e s e rvic e not subject to licensur e und e r 
GtS — 122C. Articl e 2 ■. hull complv with th e provisions of 10 
NCAC 1 IM 0706. 

Statutory Authority G.S. 143B-147. 



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.0544 AGE OF STAFF MEMBERS 

Each oommurutv rcapitc oervioc not subject to licensure under 
G.S I22C, Article 2 ohall comply with the provisions of 10 
NCAC MM 0705. 

Statutory A uthority G S. 1 43 B- 147. 

.0545 LENGTH OF STAY 

Eaoh oommurutv rc3pito sorvioo not subject to licensure under 
G.S. 122C. Artiol e 2 shall oompiy with th e provioiono of 10 
NCAC MM 0708. 

Statutory Authority G.S. 143B-147. 

.0546 PERSONAL CARE 

Each oommurutv r e spit e oome e not subj e ct to lio e naur e und e r 
G-S — 122C. Article 2 shall oomph' with the provisions of 10 
NCAC 1 4 M 0707. 

Statutory Authority G.S. 143B-147. 

.0547 RESPITE ACTTVnTES 

Each community r e spit e s e rvic e not subj e ct to lic e nsur e under 
G-&- — 122C, Artiolc 2 shall oompiy with the provisions of 10 
NCAC 1 4 M.0709. 

Statutory Authority G.S 143B-147. 

.0548 MEDICAL STATEMENT 

— Eaoh oommurutv respite scrvioo not subject to licensure under 
G-S- — 122C. j'Vrtiolc 2 shall oompiy with the provisions of 10 
NCAC MM 0710 

Statutory Authority G.S. 143B-147. 

.0549 PRIVATE HOME SERVICES: 
PROVIDER APPLICATION 

Eaoh community respite service not subject to licensure under 
G-S- — 122C, Artiole 2 shall oompiy with the provisions of 10 
NCAC MM .0711 

Statutory Authority G.S. 143B-J47. 



.0552 PRTVATE HOME SERVICES: RESPITE 
SERVICE RESPONSmnjTIES 

Each community r e spit e s e rvic e not subject to lic e nsur e und e r 
GtS- — 122C. Artiole 2 shall comply with the provisions of 10 
NCAC 1 4 M 0716. 

Statutory Authority G.S. 143B-147. 



TITLE 12 - DEPARTMENT OF JUSTICE 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the N. C. Department of Justice/State Bureau of 
Investigation/Division of Criminal Information intends to amend 
rule cited as 12 NCAC 04E .0104. 

Proposed Effective Date: October 1, 1995. 

A Public Hearing will be conducted at 9:00 a.m. on July 20, 
1995 at the N.C. State Bureau of Investigation, 407 North 
Blount Street, Raleigh, NC 27601. 

Reason for Proposed Action: To allow access to driver 
histories by "limited access " DCI terminal agencies. 

Comment Procedures: Interested persons may present their 
views either orally or in writing at the hearing. In addition, the 
record of hearing will be open for receipt of written comments 
from 7/3/95 to 8/3/95. Such written comments must be deliv- 
ered or mailed to the State Bureau of Investigation/Division of 
Criminal Information, 407 N. Blount Street, Raleigh, NC 
27601. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 4 - DIVISION OF CRIMINAL 
INFORMATION 

SUBCHAPTER 4E - ORGANIZATION RULES 
AND FUNCTIONS 



.0550 PRTVATE HOME SERVICES: 
PROVD3ER TRAINTNG 

Each community respite service not subjeot to lioenaure under 
G-S- — 122C, Artiole 2 shall oomplv with the provisions of 10 
NCAC MM .0714. 

Statutory A uthority G.S. 1 43B- 147. 

.0551 PRIVATE HOME SERVICES: 

AGREEMENT WrTH PROVIDERS 

Eaoh community respite service not subjeot to licensure under 
G-Sr — 122C. Artiole 2 shall oomplv with the provisions of 10 
NCAC MM .07 15 

Statutory Authority G.S. 143B-147. 



SECTION .0100 - GENERAL PROVISIONS 

.0104 DEFINITIONS 

The following definitions shall apply throughout Chapter 4 of 
this Title: 

(1) "Administration of Criminal Justice" means the 
performance of any of the following activities: 
detection, apprehension, detention, pretrial release, 
post-trial release, prosecution, adjudication, and 
correctional supervision or rehabilitation of accused 
criminal offenders. The administration of criminal 
justice shall include criminal identification activities 
and the collection, storage, and dissemination of 
criminal history record information. 

(2) "Administrative Message" means messages that may 



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PROPOSED RULES 



(4) 



(5) 
(6) 



be used by DCI terminal operators to exchange 
official information of an administrative nature 
between in-state law enforcement/criminal justice 
agencies and out-of-state agencies by means of 
NLETS. 
(3) "Authorized Requestor" means any person who is 

authorized and'or approved to receive state and/or 
national criminal history data by virtue of being: 

(a) a member of an approved law enforcement'criminal 
justice agency; or 

(b) any DCI or NCIC authorized non-criminal justice 
agency pursuant to local ordinance or a state or 
federal law . 

"Automated Fingerprint Identification System" 
(AFIS) means a computer based system for reading, 
encoding, matching, storage and retrieval of finger- 
print minutiae and images. 
"CCH" means computerized criminal history. 
"Criminal History Record Information" (CHRJ) 
means information collected by and maintained in the 
files of criminal justice agencies concerning individu- 
als, consisting of identifiable descriptions, notations 
of aiTest. detentions, indictments or other formal 
criminal charges This also includes any disposition, 
sentencing, correctional supervision, and release 
information. This term does not include identifica- 
tion information such as fingerprint records to the 
extent that such information does not indicate formal 
involvement of the individual in the criminal justice 
system. 
(7) 'Criminal Justice Agency" means the courts, a 

government agency , or any subunit thereof which 
performs the administration of criminal justice 
pursuant to statute or executive order and which 
allocates over 50 percent of its annual budget to the 
administration of criminal justice. 
"Criminal Justice Board" means a board composed of 
heads of law enforcement'criminal justice agencies 
which have management control over a communica- 
tions center. 

"DCI" means Division of Criminal Information. 
"DCI Manual" means a manual containing guidelines 
for users on the operation of the DCI equipment and 
providing explanations as to what information may be 
accessed through the DCI. 

"Direct Access" means an authorized agency has 
access to the DCI network through a DCI terminal or 
through a computer interface. 
"Disposition" means information on any action which 
results in termination or indeterminate suspension of 
the prosecution of a criminal charge. 
"Driver's History" means information maintained on 
individual operators to include name, address, date of 
birth, license issuance and expiration information or 
control number issuance information, and moving 
vehicle violation convictions. 
(14) "Dissemination" means any transfer of information. 



(8) 



(9) 
(10) 



(11) 



(12) 



(13) 



whether orally, in writing, or by electronic means. 

( 15) "DMV" means the North Carolina Division of Motor 
Vehicles. 

(16) "Expunge" means to remove criminal history record 
information from the DCI and FBI computerized 
criminal history and identification files pursuant to 
state statute. 

(17) "Full Access" means the ability of a terminal to 
access those programs developed and administered by 
the DCI for local law enforcement and criminal 
justice agencies specifically including state and 
national CCH and driver history access. 

(18) "Full-certification" means being operator certified 
with the ability and knowledge to use the DCI termi- 
nal accessing those programs which are developed 
and administered by DCI for local law enforcement 
and criminal justice agencies. 

(19) "Hardware" means the physical computer equipment 
or devices and the peripheral equipment forming the 
DCI information processing system including the 
Automated Fingerprint Identification System (AFIS). 

(20) 'Hot Files" means DCI/NCIC files which contain 
information on stolen and recovered property and 
wanted missing persons as entered by agencies across 
the nation. 

(21) "Inappropriate Message" means any message which 
is incomplete, unnecessary, excessive, abusive, or not 
in keeping with the rules and regulations of DCI. 

(22) "Incident Base" is a system used to collect criminal 
offense and arrest information for each criminal 
offense reported. 

(23) "Indirect Access" means access to DCI through 
another agency's direct access terminal. 

(24) "In-service Certification" means an operator's certifi- 
cation program provided by local departments and 
approved by DCI to certify and/or re-certify their 
employees. 

(25) "Interstate Identification Index (III)" means the FBI's 
files containing identifying information on persons 
who have been arrested in the United States for 
which fingerprints have been submitted to and re- 
tained by the FBI. 

(26) "Interface" means a method (either software or 
hardware) to communicate between two computers or 
computer systems. 

(27) "IRKS" means an internal records keeping system 
which DCI makes available to North Carolina crimi- 
nal justice agencies. Included in IRKS is a jaii record 
keeping system (JRKS). 

(28) "JRKS" means a jail record keeping system that aids 
agencies in accounting for their jail detainees. 

(29) "Limited Access" means the ability of a terminal to 
access those programs which are developed and 
administered by the DCI for local law enforcement 
and criminal justice agencies specifically excluding 
state and national CCH^ and driver history access. 

(30) "National Fingerprint File (NFF)" means an FBI 



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maintained enhancement to the Interstate Identifica- 
tion Index whereby only a single fingerprint card is 
submitted per state to the FBI for each offender at the 
national level. Arrest fingerprint cards from the 
same state for subsequent arrests as well as final 
dispositions and expungements will be maintained at 
the state level. 

(31) "NCIC" means the National Crime Information 
Center which is maintained in Washington, D.C. by 
the FBI. 

(32) "Need-to-know" means for purposes of the adminis- 
tration of criminal justice or for purposes of criminal 
justice agency employment. 

(33) "NLETS" means National Law Enforcement Tele- 
communications System, which is maintained in 
Phoenix, Arizona. 

(34) "Non-criminal Justice Agency" means any agency 
created by law with the statutory authority to access 
State Bureau of Investigation criminal history files for 
purposes of non-criminal justice licensing or employ- 
ment. 

(35) "Non-criminal Justice Information" means informa- 
tion that does not directly pertain to the necessary 
operation of a law enforcement/criminal justice 
agency. 

(36) "Official Record Holder" means the eligible agency 
that maintains the master documentation and all 
investigative supplements of the hot file entry. 

(37) "Operator Identifier" means a unique identifier 
assigned by DCI to all certified operators which is 
used for gaining access to the DCI network and for 
the identification of certified operators. 

(38) "Ordinance" means a rule or law promulgated by a 
governmental authority especially one adopted and 
enforced by a municipality or other local authority. 

(39) "ORI" means originating routing identifier, which is 
a unique alpha numeric identifier assigned by NCIC 
to each authorized criminal justice agency, identifying 
that agency in all computer transactions. 

(40) "Private Agency" means any agency that has con- 
tracted with a government agency to provide services 
necessary to the administration of criminal justice. 

(41) "Re-certification" means renewal of an operator's 
initial certification every 24 months. 

(42) "Right-to-know" means for the right of an individual 
to inspect his or her own record or for other purposes 
as set forth by statute or court order. 

(43) "Secondary Dissemination" means the transfer of 
CCH/CHRI information to anyone legally entitled to 
receive such information who is outside the initial 
user agency. 

(44) "Servicing Agreement" means an agreement between 
a terminal agency and a non-terminal agency to 
provide DCI terminal services. 

(45) "State" means any state of the United States, the 
District of Columbia, the Commonwealth of Puerto 
Rico and any territory or possession of the United 



States. 

(46) "Statute" means a law enacted by a state's legislative 
branch of government. 

(47) "Switched Message" means messages that may be 
used by DCI terminal personnel to exchange official 
information between law enforcement/criminal justice 
agencies within North Carolina. 

(48) "Terminal" means a video screen with a typewriter 
keyboard used by DCI to accomplish message 
switching, DMV inquiries, functional messages, and 
DCI, NCIC, NLETS on-line file transactions. 

(49) "Terminal Agency" means any agency that has 
obtained a DCI terminal. 

(50) "UCR" means a Uniform Crime Reporting program 
to collect a summary of criminal offense and arrest 
information. 

(51) "Unapproved need-to-know" means any reason for 
requesting criminal or driver's history data which is 
not within the scope of authorized purpose codes as 
defined in the DCI on-line manual. 

(52) "User Agreement" means an agreement between a 
terminal agency and DCI whereby the agency agrees 
to meet and fulfill all DCI rules and regulations. 

Statutory Authority G.S. 114-10; 114-10.1. 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the North Carolina Private Protective Services Board 
intends to amend rules cited as 12 NCAC 7D .0201, .0301. 
.0401. .0701. .0706. .0801, .0806, .0902, .0904. 

Proposed Effective Date: October 1, 1995. 

A Public Hearing will be conducted at 2:00 p.m. on July 18, 
1995 at the State Bureau of Investigation, Conference Room, 
3320 Old Garner Road. Raleigh, North Carolina 27626. 

Reason for Proposed Action: 

12 NCAC 7D.0201, .0701, .0706, .0801, .0806, .0902, .0904 

• The amendment will require applicants to pay for the criminal 
record checks which are conducted by the State Bureau of 
Investigation for the applicant. 

12 NCAC 7D .0301, .0401 - The amendment allows the Board 
to give experience credit for applicants who have obtained an 
associate's degree, a bachelor's degree, or a graduate degree. 

Comment Procedures: Interested persons may present their 
view either orally or in writing at the hearing. The Record of 
Hearing will be open for receipt of written comments on the 
proposed text for 30 days after the text is published in the North 
Carolina Register or until the date of the public hearing, 
whichever is longer. Written comments must be delivered to the 
Private Protective Services Board, 3320 Old Garner Road, 
Raleigh, NC 27626-0500. 



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PROPOSED RULES 



Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 7 - PRIVATE PROTECTIVE SERVICES 

SUBCHAPTER 7D - PRIVATE PROTECTIVE 
SERVICES BOARD 

SECTION .0200 - LICENSES: TRAINEE PERMITS 

.0201 APPLICATION FOR LICENSES AND TRAFNEE 
PERMITS 

(a) Each applicant for a license or trainee permit shall submit 
an original and one copy of the application to the Board. The 
application shall be accompanied by: 

( 1 ) one set of classifiable fingerprints on an applicant 
fingerprint card: 

(2) one recent head and shoulders photograph(s) of the 
applicant of acceptable quality for identification, 
one inch by one inch in size; 

(3) statements of the result of a local criminal history 
records search by the city-county identification 
bureau or clerk of superior court in each county 
where the applicant has resided within the immedi- 
ate preceding 60 months; and 

(4) the applicant's non-refundable application feer fee; 
and 

(5) actual cost charged to the Private Protective Ser- 
vices Board by die State Bureau of Investigation to 
cover the cost of criminal record checks performed 
by the State Bureau of Investigation, collected by 
the Private Protective Services Board. 

(b) Applications for trainee permits shall be accompanied by 
a notarized statement on a form provided by the Board and 
signed by the applicant and his prospective supervisor, stating 
that the trainee applicant shall at all times work with and under 
the direct supervision of that supervisor. 

(c) Private investigator trainees applying for a license must 
make available for inspection a log of experience on a form 
provided by the Board. 

(d) Each applicant must provide evidence of high school 
graduation either by diploma, G.E.D. certificate, or other 
acceptable proof. 

Statutory Authority G.S. 74C-2; 74C-5; 74C-8. 



performing guard and patrol functions; or 
(2) establish to the Board's satisfaction three years 

experience within the past 10 years as a manager, 
supervisor, or administrator in security with any 
federal, U.S. Armed Forces, state, county, or 
municipal law enforcement agency performing 
guard and patrol functions. 

(b) The Board may will give up to two yeara credit toward 
the experience requirements set forth in (a)(1) and (2) of this 
Rule as follows: 

<-B one year of credit for a two year Associate Degree 

in Security. Criminal Justice or the equivalent 
conferred by an accredited community college. 
coll e g e or univ e rsity; 

f3-) on e y e ar of cr e dit for a Bach e lor's D e gre e in 

Business or Economics or the equivalent conferred 
by an accredited college or university; or 

0} two y e ars of credit for a Bach e lor's E> e gre e . Mao 

t e r's D e gr ee or Doctorate in Security or Criminal 
Justice or the equivalent conferred by an accredited 
college or university. 

(1) An applicant will receive a minimum of 400 hours 
of experience credit for an associate's degree. The 
Administrator or the Board may grant up to 100 
additional hours if the applicant can demonstrate 
that further training or course-work related to the 
private protective services industry was received 
while obtaining the associate's degree. 

(2) An applicant will receive 800 hours of experience 
credit for a bachelor's degree. The Administrator 
or the Board may grant up. to 200 additional hours 
if the applicant can demonstrate that further training 
or course-work related to the private protective 
services industry was received while obtaining the 
bachelor's degree. 

(3) An applicant will receive 1,200 hours of experience 
credit for a graduate degree. The Administrator or 
the Board may grant an additional 300 additional 
hours if the applicant can demonstrate that further 
training or course-work related to the private 
protective services industry was received while 
obtaining the graduate degree. 

(c) Persons licensed under Chapter 74D of the General 
Statutes of North Carolina, may be issued a limited guard and 
patrol license exclusively for providing armed alarm responders. 



SECTION .0300 - SECURITY GUARD AND PATROL: 
GUARD DOG SERVICE 

.0301 EXPERIENCE REQUIREMENTS/SECURrrY 
GUARD AND PATROL LICENSE 

(a) In addition to the requirements of 12 NCAC 7D .0200. 
applicants for a security guard and patrol license shall: 

(1) establish to the Board's satisfaction three years 

experience within the past 10 years as a manager, 
supervisor, or administrator with a contract security 
company or a proprietary security organization 



Statutory Authority G.S. 74C-5; 74C-8; 74C-13. 

SECTION .0400 - PRTVATE INVESTIGATOR: 
COUNTERFNTELLIGENCE 

.0401 EXPERIENCE REQUIREMENTS FOR A 
PRIVATE ESV ESTIGATOR LICENSE 

(a) In addition to the requirements of G.S. 74C-8 and 12 
NCAC 7D .0200. applicants for a private investigator license 
shall: 

(1) establish to the Board's satisfaction three years of 



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verifiable experience within the past 10 years while 
conducting investigations as defined in G.S. 
74C-3(a)(8) with a contract security company or 
with a private person, firm, association or corpora- 
tion; or 
(2) establish to the Board's satisfaction three years of 

verifiable experience within the past 10 years while 
conducting investigations as defined in G.S. 
74C -3(a)(8) while serving in an investigative 
capacity as defined in 12 NCAC 7D .0104(9) with 
any Federal, U.S. Armed Forces, state, county, 
municipal law enforcement agency or other govern- 
mental agency. 

(b) The Board may will give up to two y e ars credit toward 
the experience requirements set forth in Paragraph (a) of this 
Rule as follows: 

fB one year of credit for a two year Associate Degree - 
in Socurity, Criminal Justic e or th e e quival e nt 
conferred by an accredit e d community ' coll e g e , 
college or university. 

(2-) one year of credit for a Bachelor' s Degree in 

Busin e ss or Economics or th e e quival e nt conf e rr e d 
by an accredit e d coll e g e or univ e rsity; or 

fj) two years of credit for a Bachelor's Degree, Mas 

tor's Degree or Doctorate in Socurity or Cnminal 
Justic e or th e e quival e nt conf e rr e d by an accr e dit e d 
college or univ e rsity. 

(1) An a pplicant will receive a minimum of 400 hours 
of experience credit for an associate's degree The 
Administrator or the Board may grant up to 100 
additional hours if the applicant can demonstrate 
that further training or course-work related to the 
private protective services industry was received 
while obtaining the associate's degree. 

(2) An applicant will receive 800 hours of experience 
credit for a bachelor's degree. The Administrator 
or the Board may grant up to 200 additional hours 
if the applicant can demonstrate that further training 
or course-work related to the private protective 
services industry was received while obtaining the 
bachelor's degree. 

(3) An a pplicant will receive 1 ,200 hours of experience 
credit for a graduate degree. The Administrator or 
the Board may grant an additional 300 additional 
hours if the applicant can demonstrate that further 
training or course-work related to the private 
protective services industry was received while 
obtaining the graduate degree. 

(c) Time spent teaching police science subjects at a 
post-secondary educational institution (such as a community 
college, college or university) shall toll the time for the mini- 
mum year requirements in 12 NCAC 7D .0401(a). For the 
purposes of this Section, "toll" means that the experience gained 
by an applicant immediately prior to beginning teaching shall 
not be discredited. "Toll" shall not mean that credit is given for 
teaching police science subjects. 



Statutory Authority G.S. 74C-5{2). 

SECTION .0700 - SECURITY GUARD 
REGISTRATION (UNARMED) 

.0701 APPLICATION FOR UNARMED SECURITY 
GUARD REGISTRATION 

(a) Each employer or his designee shall submit and sign an 
application form for the registration of each employee to the 
Board. This form shall be accompanied by: 

( 1 ) one set of classifiable fingerprints on an applicant 
fingerprint card; 

(2) two recent head and shoulders color photographs of 
the applicant of acceptable quality for identification, 
one inch by one inch in size; 

(3) statements of any criminal record obtained from the 
appropriate authority in each area where the appli- 
cant has resided within the immediate preceding 48 
months; and 

(4) the applicant's non-refundable registration leer fee; 
and 

(5) actual cost charged to the Private Protective Ser- 
vices Board by the State Bureau of Investigation to 
cover the cost of cnminal record checks performed 
by the State Bureau of Investigation, collected by 
the Private Protective Services Board. 

(b) The employer of each applicant for registration shall give 
the applicant a copy of the application and shall retain a copy of 
the application in the individual's personnel file in the employ - 
ers's office. 

(c) The applicant's copy of the application shall serve as a 
temporary registration card which shall be carried by the 
applicant when he is within the scope of his employment and 
which shall be exhibited upon the request of any law enforce- 
ment officer or other authorized representative of the Board. 

(d) A statement signed by a certified trainer that the applicant 
has successfully completed the training requirements of 12 
NCAC 7D .0707 shall be submitted to the Administrator not 
later than 80 days from the hiring of an unarmed security 
guard. 

(e) A copy of the statement specified in Paragraph (d) of this 
Rule shall be retained by the licensee in the individual appli- 
cant's personnel file in the employer's office. 

Statutory Authority G.S. 74C-5; 74C-11; 74C-13. 

.0706 RENEWAL OR REISSUE OF UNARMED 
SECURrTY GUARD REGISTRATION 

(a) Each applicant for renewal of a registration identification 
card or his employer, shall complete a form provided by the 
Board. This form should be submitted not less than 30 days 
prior to the expiration of the applicant's current registration and 
shall be accompanied by: 

( 1 ) two recent head and shoulders color photographs of 
the applicant of acceptable quality for identification, 
one inch by one inch in size; 

(2) statements of any criminal record obtained from the 



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577 



PROPOSED RULES 



appropriate authority in each area where the appli- 
cant has resided within the immediate preceding 12 
months, and 

(3) the applicant's renewal feer fee; and 

(4) actual cost charged to the Private Protective Ser- 
vices Board by the State Bureau of Investigation to 
cover the cost of criminal record checks performed 
by the State Bureau of Investigation, collected by 
the Private Protective Services Board. 

(b) Each applicant for reissue of a registration identification 
card shall complete, and his employer shall sign a form 
provided by the Board. Tins form shall be submitted to the 
Board and accompanied by: 

( 1 ) two recent head and shoulders color photographs of 
the applicant of acceptable quality for identification, 
one inch by one inch in size, and 

(2) the applicant's reissue fee. 

(c) The employer of each applicant for a registration renewal 
or reissue shall give the applicant a copy of the application 
which will serve as a record of application for renewal or 
reissue and shall retain a copy of the application in the individ- 
ual's personnel file in the employer s office. 

Statutory Authority G.S. 74C-5; 74C-11. 

SECTION .0800 - ARMED SECURITY GUARD 
FIREARM REGISTRATION PERMIT 

.0801 APPLICATION/ ARMED SECURITY GUARD 
FIREARM REGISTRATION PERMIT 

(a) Each employer or his designee shall submit and sign an 
application form for the registration of each employee to the 
Board. This form shall be accompanied by: 

( 1 ) one set of classifiable fingerprints on an applicant 
fingerprint card: 

(2) two recent head and shoulders color photographs of 
the applicant of acceptable quality for identification, 
one inch by one inch in size; 

(3) statements of any criminal record obtained from the 
appropriate authority in each area where the appli- 
cant has resided within the immediate preceding 48 
months. 

(4) actual cost charged to the Private Protective Ser- 
vices Board by the State Bureau of Investigation to 
cover the cost of criminal record checks performed 
by the State Bureau of Investigation, collected by 
the Private Protective Services Board; 

(5) (4) the applicant's non-refundable registration fee; 
and 

(6) {£) a statement signed by a certified trainer that the 
applicant has successfully completed the training 
requirements of 12 N.C.A.C. 7D .0807. 

(b) The employer of each applicant for registration shall give 
the applicant a copy of the application and shall retain a copy of 
the application in the individual's personnel file in the em- 
ployer's office. 

(c) The applicant's copy of the application shall serve as a 



temporary registration card which shall be carried by the 
applicant when he is within the scope of his employment and 
which shall be exhibited upon the request of any law enforce- 
ment officer or other authorized representative of the Board. 

(d) Applications submitted without firearms certificates shall 
not serve as temporary registration cards unless the contract 
security company or proprietary security organization has 
obtained prior approval from the administrator and provides 
satisfactory proof that the applicant has received prior firearms 
training. 

(e) The provisions of (a), (b). and (c) of this Rule shall also 
apply to any employee whose employment is terminated w ithin 
30 days of employment. 

Statutory Authority G.S. 74C-5; 74C-13. 

0806 RENEWAL OF ARMED SECURITY GUARD 
FIREARM REGISTRATION PERMIT 

(a) Each applicant for renewal of an armed security guard 
firearm registration permit identification card or his employer 
shall complete a form provided by the Board. This form shall 
be submitted not more than 90 days nor less than 30 days prior 
to expiration of the applicant's current armed registration and 
shall be accompanied by: 

( 1 ) two recent head and shoulders color photographs of 
the applicant of acceptable quality for identification, 
one inch by one inch in size: 

(2) statements of any criminal record obtained from the 
appropriate area where the applicant has resided 
within the immediate preceding 12 months; and 

(3; the applicant's renewal feer fee; and 

(4) actual cost charged to the Private Protective Ser- 
vices Board by the State Bureau of Investigation to 
cover the cost of criminal record checks performed 
by the State Bureau of Investigation, collected by 
the Private Protective Services Board. 

(b) The employer of each applicant for a registration renewal 
shall give the applicant a copy of the application which will 
serve as a record of application for renewal and shall retain a 
copy of the application in the individual's personnel file in the 
employer's office 

(c) Applications for renewal shall be accompanied by a 
statement signed by a certified trainer that the applicant has 
successfully completed the training requirements of 12 NCAC 
7D 0807 

Statutory Authority G.S. 74C-5; 74C-11; 74C-13. 

SECTION .0900 - FIREARMS TRAINER 
CERTIFICATE 

.0902 APPLICATION FOR FIREARMS TRAINER 
CERTIFICATE 

Each applicant for a firearms trainer certificate shall submit an 
original and one copy of the application to the Board. The 
application shall be accompanied by: 

(1) one set of classifiable fingerprints on an applicant 

fingerprint card; 



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(2) one recent head and shoulders color photograph of 
the applicant of acceptable quality for identification, 
one inch by one inch in size: 

(3) statements of the result of a local criminal history 
records search by the city-county identification bureau 
or clerk of superior court in each county where the 
applicant has resided within the immediate preceding 
60 months; 

(4) actual cost charged to the Private Protective Services 
Board by the State Bureau of Investigation to cover 
the cost of criminal record checks performed by the 
State Bureau of Investigation, collected by the Private 
Protective Services Board; 

(5) (4) the applicants non-refundable application fee; 
and 

(6) (5) a certificate of successful completion of the 
training required by 12 NCAC 7D .0901(3) and (4). 
This training shall have been completed within 60 
days of the submission of the application. 

Statutory Authority G.S. 74C-5; 74C-13. 

.0904 RENEWAL OF A FIREARMS TRAINER 
CERTIFICATE 

Each applicant for renewal of a firearms trainer certificate 
shall complete a renewal form provided by the Board. This 
form should be submitted not less than 30 days prior to the 
expiration of the applicant's current certificate and shall be 
accompanied by: 

( 1 ) certification of the successful completion of a fire- 
arms trainer refresher course approved by the Board 
and the Attorney General consisting of a minimum of 
8 hours of classroom and practical range training in 
handgun and shotgun safety and maintenance, range 
operations, control and safety procedures, and meth- 
ods of handgun and shotgun firing. This training 
shall have been completed within 60 days of the 
submission of the renewal application; 

(2) statements of the result of a local criminal history 
records search by the city-county identification bureau 
or clerk of superior court in each county where the 
applicant has resided within the immediate preceding 
24 months; and 

(3) the applicant s renewal feer fee; and 

(4) actual cost charged to the Private Protective Services 
Board by the State Bureau of Investigation to cover 
the cost of criminal record checks performed by the 
State Bureau of Investigation, collected by the Private 
Protective Services Board; 

Statutory* Authority G.S. 74C-5; 74C-13. 



TrTLE I5A - DEPARTMENT OF ENVIRONMENT, 
HEALTH, AND NATURAL RESOURCES 



Notice is hereby given in accordance with G.S. 150B-21.2 
that the EHNR - Sedimentation Control Commission 
intends to amend rules cited as 15A NCAC 4A .0001. . 0005; 4B 
.0016, .0020; 4C .0007 - .0008, .0010; 4D .0002; adopt rules 
cued as 15 A NCAC 4B .0029 - .0030; and repeal rule cited as 
15 A NCAC 4D .0003. 

Proposed Effective Date: October 1, 1995. 

A Public Hearing will be conducted at 2:00 p.m. on July 18, 
1995 at the Ground Floor Hearing Room, ArcMale Building, 
512 North Salisbury Street, Raleigh, NC 

Reason for Proposed Action: These proposed actions are 
necessary to clarify and define statutory provisions which 
resulted from the ratification of H.B. 644. 15A NCAC Chapter 
4, Sedimentation Control must now conform with these legisla- 
tive amendments to G.S. 1 13A-50 et. seq. , the Sedimentation 
Pollution Control Act of 1973 (SPCA). 

Comment Procedures: Any person requiring information may 
contact Mr. Craig Deal, Land Quality Section. P.O. Box 
27687, Raleigh, North Carolina 27611 - Telephone - (919) 
733-4574. Written comments may be submitted to the above 
address no later than August 2, 1995. 

Fiscal Note: Tins Rule does not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 4 - SEDIMENTATION CONTROL 

SUBCHAPTER 4A - SEDIMENTATION CONTROL 
COMMISSION ORGANIZATION 

0001 OFFICES OF THE SEDIMENTATION 
CONTROL COMMISSION 

Persons may write or visit the North Carolina Sedimentation 
Control Commission offices at the Archdale Building, 512 N. 
Salisbury Street, P.O. Box 27687, Raleigh. North Carolina 
276 1 1 . Persons may write or visit regional offices of the 
Commission's staff in the Land Quality Section of the Division 
of Land Resources at the following locations: 

(1) Interchange Building 
59 Woodfin Place 
P.O. Box 370 
Asheville. N.C. 28801 

(2) 8 025 North Point Blvd., Suite 100 
Winston Sal e m, N.C. 27106 

585 Waughtown Street 
Winston-Salem, N.C. 27107 

(3) 919 North Main Street 
P.O. Box 950 
Mooresville, N.C. 28115 

(4) 3800 Barrett Drive 
P.O. Box 27687 
Raleigh, N.C. 27611 

(5) Wachovia Building 



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PROPOSED RULES 



Suite 714 

Fayetteville. N.C. 28301 

(6) 1424 Carolina Avenue 
P.O. Box 2188 

Washington, N.C. 27889 (10) 

(7) 127 Cardinal Dr.. Ext. 

Wilmington, N.C. 28405-3845 (11) 

(12) 
Statutory Authority G.S. 143B-298. 

0005 DEFINITIONS 

As used in this Chapter, the following terms shall have these (13) 

meanings: 

(1) "Accelerated Erosion" means any increase over the (14) 
rate of natural erosion, as a result of land-disturbing 
activities 

(2) "Adequate Erosion Control Measure, Structure, or (15) 
Device" means one which controls the soil material 

within the land area under responsible control of the (16) 

person conducting the land-disturbing activity. 

(3) "Borrow" means fill material which is required for 
on-site construction and is obtained from other 
locations. (17) 

(4) "Buffer Zone" means the strip of land adjacent to a 
lake or natural watercourse. 

(5) "Ground Cover" means any natural vegetative growth ( 18) 
or other material which renders the soil surface stable 
against accelerated erosion. 

(6) "Lake or Natural Watercourse" means any stream, 

river, brook, swamp, sound, bay. creek, run, branch, ( 19) 

canal, waterway, estuary, and any reservoir, lake or 

pond, natural or impounded in which sediment may 

be moved or carried in suspension, and which could 

be damaged by accumulation of sediment. (20) 

(7) "Natural Erosion" means the wearing away of the 
earth's surface by water, wind, or other natural 
agents under natural environmental conditions undis- 
nirbed by man. 

(8) "P e r s on R e sponsibl e for th e Violation", "Person who 
violates", as used in G.S. 1 13A-64, means: (21) 

(a) the developer or other person who has or holds 
himself out as having financial or operational 
control over the land-disturbing activity; or 

(b) the landowner or person in possession or control of 
the land when he has directly or indirectly allowed 
the land-disturbing activity or has benefited from it 
or he has failed to comply with any provision of the 
Sedimentation Pollution Control Act of 1973, G.S. (22) 
1 13A-50 to -66. the North Carolina Administrative 

Code. Title 15 A, Chapter 4, or any order or local (23) 

ordinance adopted pursuant to the Sedimentation 
Pollution Control Act of 1973, G.S. 113A-50 to 
-66. as imposes a duty upon him. 

(9) "Person Conducting Land Disturbing Activity" means (24) 
any person who may be held responsible for a 
violation unless expressly provided otherwise by the 
Sedimentation Pollution Control Act of 1973, G.S. 



1 13A-50 to -66, the North Carolina Administrative 
Code, Title 15A Chapter 4, or any order or local 
ordinance adopted pursuant to the Sedimentation 
Pollution Control Act of 1973, G.S. 113A-50 to -66. 
"Phase of Grading" means one of two types of 
grading, rough or fine. 
"Plan" means an erosion control plan. 
"Sedimentation" means the process by which sedi- 
ment resulting from accelerated erosion has been or 
is being transported off the site of the land-disturbing 
activity or into a lake or natural watercourse. 
"Storm Water Runoff" means the direct runoff of 
water resulting from precipitation in any form. 
"Being Conducted" means a land-disturbing activity 
has been initiated and permanent stabilization of the 
site has not been completed. 

"Uncovered" means the removal of ground cover 
from. on. or above the soil surface. 
"Undertaken" means the initiating of any activity, or 
phase of activity, which results or will result in a 
change in the ground cover or topography of a tract 
of land. 

"Waste" means surplus materials resulting from 
on-site construction and disposed of at other loca- 
tions. 

"Energy Dissipator" means a structure or a shaped 
channel section with mechanical armoring placed at 
the outlet of pipes or conduits to receive and break 
down the energy from high velocity flow. 
'Storm Drainage Facilities" means the system of 
inlets, conduits, channels, ditches, and appurtenances 
which serve to collect and convey stormwater 
through and from a given drainage area. 
"Ten Year Storm" means the surface runoff resulting 
from a rainfall of an intensity expected to be equaled 
or exceeded, on the average, once in 10 years, and of 
a duration which will produce the maximum peak 
rate of runoff, for the watershed of interest under 
average antecedent wetness conditions. 
"Velocity" means the average velocity of flow 
through the cross section of the mam channel at the 
peak flow of the storm of interest. The cross section 
of the main channel shall be that area defined by the 
geometry of the channel plus the area of flow below 
the flood height defined by vertical lines at the main 
channel banks. Overload flows are not to be in- 
cluded for the purpose of computing velocity of flow. 
"Discharge Point" means that point at which runoff 
leaves a tract of land. 

"Completion of Construction or Development" means 
that no further land-disturbing activity is required on 
a phase of a project except that which is necessary 
for establishing a permanent ground cover. 
"High Quality Waters" means those classified as such 
in 15A NCAC 2B .0101(e)(5) - General Procedures, 
which is incorporated herein by reference to include 
further amendments. 



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(25) "High Quality Water (HQW) Zones" means areas in 
the Coastal Counties that are within 575 feet of High 
Quality Waters and for the remainder of the state 
areas that are within one mile of and drain to 
HQW's. 

(26) "Director" means the Director of the Division of 
Land Resources of the Department of Environment, 
Health, and Natural Resources. 

(27) "Coastal counties" means the following counties: 
Beaufort, Bertie. Brunswick, Camden, Carteret, 
Chowan, Craven, Currituck, Dare, Gates, Hertford, 
Hyde. New Hanover. Onslow, Pamlico, Pasquotank, 
Pender, Perquimans, Tyrrell and Washington. 

(28) "Twenty-five Year Storm" means the surface runoff 
resulting from a rainfall of an intensity expected to be 
equaled or exceeded, on the average, once in 25 
years, and of a duration which will produce the 
maximum peak rate of runoff, from the watershed of 
interest under average antecedent wetness conditions. 

Statutory Authority G.S. 113A-52; 113A-54. 

SUBCHAPTER 4B - EROSION AND SEDIMENT 
CONTROL 

.0016 EXISTING UNCOVERED AREAS 

(a) All uncovered areas which: 

(1) existed on the effective date of these Rules: 

(2) resulted from land-disturbing activity; 

(3) exceed one acre; 

(4) are experiencing continued accelerated erosion; and 

(5) causing off-site damage from sedimentation, shall 
be provided with ground cover or other protective 
measures, structures, or devices sufficient to re- 
strain accelerated erosion and control off-site 
sedimentation. 

(b) The commission or local government shall serve a notice 
to comply upon the landowner or other person in possession or 
control of the land by r e gi s t e r e d or c e rtifi e d mail or oth e r 
means rea s onably calculated to give actual notice s uch a o 
service by the sheriff s department or hand delivery, any means 
authorized under G.S. 1A-1, Rule 4^ The notice shall state the 
measures needed and the time allowed for compliance. The 
commission or local government issuing the notice shall 
consider the economic feasibility, technological expertise and 
quantity of work required, and shall establish reasonable time 
limits for compliance. 

(c) State agency erosion and sedimentation control programs 
submitted to the commission for delegation of authority to 
administer such programs shall contain provisions for the 
treatment of existing exposed areas. Such provisions shall 
consider the economic feasibility, existing technology, and 
quantity of work required. 

(d) This Rule shall not require ground cover on cleared land 
forming the future basin of a planned reservoir. 

Statutory Authority G.S. 113A-54. 



.0020 INSPECTIONS AND INVESTIGATIONS 

(a) The Commission, Department of Environment, Health, and 
Natural Resources or local government shall also have the 
power to require written statements, or the filing ef of reports 
under oath, concerning land disturbing activity 

(b) Inspection of sites shall be carried out by the staff of 
Department of Environment, Health, and Natural Resources or 
other qualified persons authorized by the Commission or 
Department of Environment. Health, and Natural Resources as 
necessary to carry out its duties under the Act. 

(c) No person shall refuse entry or access to any authorized 
representative of the Commission or any authorized representa- 
tive of a local government who requests entry for purposes of 
inspection, and who presents appropriate credential s, nor s hall 
any person obstruct, hamper or interfere with any s uch repre 
scntative while in the process of carrying out hrs official duties . 

Statutory Authority G.S. 113A-54(b); 113A-58: 113A-6I.1. 

.0029 EROSION CONTROL PLAN EXPIRATION 
DATE 

An erosion control plan shall expire three years following the 
date of approval, if no land-disturbing activity has been 
undertaken. 

Statutory Authority G.S. U3A-54.1(a). 

.0030 EMERGENCIES 

Any person who conducts an emergency repair essential to 
protect human life, that constitutes a land-disturbing activity 
within the meaning of G.S. 1 13A-52(6) and these Rules: 

(1) shall notify the Commission of such repair as soon as 
reasonably possible, but in no event later than five 
working days after the emergency ends; and 

(2) shall take all reasonable measures to protect all public 
and private property from damage caused by such 
repair as soon as reasonably possible, but in no event 
later than J5 working days after the emergency ends. 

Statutory Authority G.S. H3A-54(b); I I3A-52.01(4). 

SUBCHAPTER 4C - SEDIMENTATION CONTROL 
CIVIL PENALTIES 

.0007 PROCEDURES: NOTICES 

(a) Prior to th e a sses sm e nt of any civil p e nalty pursuant to 
G.S. 1 13A 6 4 (a)( 1) and 1 13A 6 4 (a)( 4 ). notice of the violation 
shall be given the alleged violator(s) or his (their) agent(a) by 
registered or c e rtifi e d mail or oth e r m e ans reasonably calculated 
to giv e actual notice, such as se rvic e by th e s h e riff s d e partm e nt 
or hand delivery, describing the violation with reasonable 
particularity, s pecifying a time period for compliance and 
s tating that upon failur e to comply th e p e rson r es ponsibl e for 
th e violation shall b e com e subj e ct to th e assessment of a civil 
penalty, provided that no time period for complianc e need be 
given for failure to s ubmit an ero s ion control plan for approval 



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581 



PROPOSED RULES 



or for ob s tructing, hampering or interfering with an authorized 
representative whil e in th e process of carrying out hi s official 
duti e s. The notice of violation shall describe the violation with 
reasonable particularity and shall state that upon failure to 
comply, the person shall become subject to the assessment of a 
civil penalty. 

(b) If. after th e allott e d tim e p e riod ha s e xpired, th e violator 
has not completed corrective action, a civil penalty may be 
assessed from the date of receipt of the notice of violation. 
Notic e of the aosossm e nt shall b e by r e gist e r e d or c e rtifi e d mail 
or oth e r means r e asonably calculat e d to giv e actual notic e such 
as service by the sheriffs department or hand delivery 1 . 

(b) fe) The stop work order provided in G.S. 113A-65.1 
shall serve as the notice of violation for purposes of the 
assessment of a civil penalty pursuant to G.S. 1 13A 6 ' 1(a)(5). 
G.S. 1 13A-64(a)(l). No time period for compliance need be 
given for failure to s top work pursuant to a stop work order 
issu e d und e r G.S. 1 13 A 65. 1 . Copies of the stop work order 
shall be d e liv e r e d to served upon persons the Department has 
reason to believe may be responsible for the violation by 
registered or certified mail or other mean s reasonably calculated 
to giv e actual notic e , any means authorized under G.S. 1 A-l, 
Rule 4. 



.0002 MODEL ORDINANCE 

The commission has adopted a model ordinance - which 
provid e s th e specific s tandards which a l ocal e rosion and 
scdimentanon control program must meet or exceed to qualify 
tor approval by the commission, ordinance. Local governmen- 
tal units wishing to establish a local erosion and sedimentation 
control program may obtain a copy of the model ordinance 
upon writing to: 

North Carolina Department of Environment. Health, 

and Natural Resources 

Land Quality Section 

P.O. Box 27687 

Raleigh. N.C. 27611 
Th e ordinanc e i s fil e d and available for insp e ction in the N.C. 
Offic e of Admini s trativ e H e arings. 

Statutory Authority G.S. U3A-54(d); 113A-60. 

0003 REVISIONS TO APPROVED LOCAL 
ORDINANCES 

The Commission s hall only approve revisions upon determin - 
ing that such revisions equal or exc ee d the s tandards of the 
mod el ordinanc e and have been adopt e d locally. 



Statutory Authority G.S. 113A-54; 113A-61.1; 113A-64; 
113A-65.1: 143B-10. 

.0008 REQUESTS FOR ADMINISTRATIVE HEARrNG 

After receipt of notification of any assessment, the assessed 
person must select one of the following options within 60 30 
days: 

( 1 ) tender payment; or 

(2) file a petition for an administrative heanng in accor- 
dance with G.S. 150B-23. 

Statutory Authority G.S. 113A-64: 143B-10; 150B-23. 

0010 ADMINISTRATIVE HEARING 

i€t) Administrative hearings shall be conducted in accordance 
with the procedures outlined in G.S. 150B-22 et seq. and the 
contested case procedures in I5A NCAC IB 0200 

(b) if th e all e g e d violator r e qu e sts an administrativ e h e anng. 
no d e mand for paym e nt shall b e mad e by th e s e cr e tary, or th e 
director acting in the secretary s behalf, until a final decision is 
made by the s ecretary which uphold s the a ss es s ment of a 
p e nalty. The d e mand for paym e nt may be incorporat e d in th e 
s e cr e tary's final d e cision. 

(e) If payment i s not received within 30 days following the 
demand, the s ecretary s hall refer the matter to the Attorney 
G e n e ral to in s titut e a civil action for th e coll e ction of th e p e nalty 
in th e sup e rior court of th e count) in which th e v i olation 
occurred. 



Statutory Authority G.S. 113A-54(d); 113A-60. 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the EHNR - Commission for Health Services intends 
to ainend rule cited as 15.4 NCAC 16A . 1001: and adopt rules 
cited as 15A NCAC 16A . 1002 - . J 006. 

Temporary: 77?^ proposed text in Rules 15A NCAC 16A . 1001 
and . 1002 was filed as a temporary amendment to Rule . 1001 
effective July 1 . 1995 for a period of 180 days or until the 
permanent ride becomes effective, whichever is sooner. 

Proposed Effective Date: January 1 , 1996. 

A Public Hearing will be conducted at 1:30 p.m. on October 
19. 1995 at the Ground Floor Hearing Room, Archdale 
Building, 512 N. Salisbury Street, Raleigh, NC. 

Reason for Proposed Action: Vie HIV Medications Program 
lias sufficient funds to expand it formulary to include prophylac- 
tic treatments for the prewnnon of Pneumocystis carinii pneumo- 
nia to low income patients who are not covered bx Medicaid or 
insurance. Vie proposed rule change also changes the name of 
the program to reflect current operations with state funds and to 
identify rides in the Purcliase of Care Program which are 
applicable to this program. 



Statutory Authority G.S. 113A-55: 150B-22 et seq. 

SUBCHAPTER 4D - LOCAL ORDINANCES 



Comment Procedures: All persons interested in these matters 
are invited to attend the public hearing. Written comments may 
be presented at the public hearing or submitted to Grady L. 
Balentme. Department of Justice, PO Box 629, Raleigh, NC 



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PROPOSED RULES 



27602-0629. All written comments must be received by 
November 1, 1995. Persons who wish to speak at the hearing 
should contact Mr. Balentine at (919) 733-4618. Persons who 
call in advance of the hearing will be given priority on the 
speaker's list. Oral presentation lengths may be limited 
depending on the number of people that wish to speak at the 
public hearing. Only persons who have made comments at a 
public hearing or who have submitted written comments will be 
allowed to speak at the Commission meeting. Comments made 
at the Commission meeting must either clarify previous com- 
ments or proposed changes from staff pursuant to comments 
made during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL INTERESTED AND 
POTENTIALLY AFFECTED PERSONS, GROUPS, BUSI- 
NESSES, ASSOCIATIONS, INSTITUTIONS OR AGENCIES 
MAKE THEIR VIEWS AND OPINIONS KNOWN TO THE 
COMMISSION FOR HEALTH SERVICES THROUGH THE 
PUBLIC HEARING AND COMMENT PROCESS. 
WHETHER THEY SUPPORT OR OPPOSE ANY OR ALL 
PROVISIONS OF THE PROPOSED RULES. THE COM- 
MISSION MA Y MAKE CHANGES TO THE RULES A T THE 
COMMISSION MEETING IF THE CHANGES COMPLY 
WITH G.S. 150B-21.2(J). 

Fiscal Note: Rule 15A NCAC 16A . 1001 affects the expenditure 
or distribution of State funds subject to the Executive Budget 
Act, Article 1 of Chapter 143. 

CHAPTER 16 - ADULT HEALTH 

SUBCHAPTER 16A - CHRONIC DISEASE 

SECTION .1000 - HTV MEDICATIONS PROGRAM 



Reimbursement shall be provided directly to pharmacies for 
antireiroviral medications, used to treat HIV infection in 
accordance with FDA approved indications included in the 
official product labeling, and for sulfamethoxazole/trimethoprim 
and Dapsone used for the prevention and treatment of Pneumo- 
cystis carinii pneumonia. 

Statutory Authority C. S. 130A-5(3). 

.1003 MEDICAL ELIGIBILITY 

A person who is determined by a physician to be infected with 
the human immunodeficiency virus is medically eligible. 

Statutory Authority G. S. 130A-5(3). 

.1004 FINANCIAL ELIGIBILITY 

Financial eligibility shall be determined in accordance wit h 
ISA NCAC 24A .0202. 

Statutory Authority G.S. 130A-5(3). 

.1005 APPLICATION PROCESS 

(a) A pplications for assistance must be submitted and will be 
processed in accordance with 15A NCAC 24A. All necessary 
forms may be obtained from the Office of Purchase of Medical 
Care Services, Division of Fiscal Management. Department of 
Environment, Health, and Natural Resources, P.O. Box 27687, 
Raleigh, N.C. 27611-7687. 

(b) Applications must be renewed at least annually for the 
fiscal year beginning July J^ and ending June 30. Only one 
pharmacy of the patient's choice shall be authorized to receive 
reimbursement at am given time. Changes of patient-selected 
pharmacy during the course of the fiscal year require the 
approval of the Office of Purchase of Medical Care Services. 



.1001 GENERAL 

— P e rsons with HIV infection who qualify financially pursuant 
to 15A NCAC 24A .0202 s hall be eligib l e to receive reimburse 
ment for AZT through the Federal AIDS Drug Reimbursement 
Program if they document that they hav e or hav e had on e of th e 
following: 

— f4-) CD 4+ count leas than 500 cells per cubic millimeter; 

— (3} a diagnosis of AIDS meeting the Centers for Disease 

Control surveillance definition a s publish e d in th e 
Morbidity and Mortality W ee kly R e port which is 
adopted — by — reference — in accordance with G.S. 
150B 1 4 (c); or 

(3) HTV r e lat e d thrombocytop e nia and l e ss than 20,000 

plat e l e ts p e r cubic millim e t e r. 
Persons diagnosed by a medical provider to have HIV disease 
or HIV seropositivity, and who qualify financially pursuant to 
15A NCAC 24A .0202, shall be eligible to have certain 
medications paid for through the HIV Medications Program. 



Statutory Authority G. S. 130A-5(3). 

1 006 ELIG IBLE PROVIDERS 

Any pharmacy operating pursuant to a permit issued by the 
North Carolina Board of Pharmacy which participates in the 
North Carolina Medicaid Program is eligible to receive reim- 
bursement for covered medications. 

Statutory Authority G.S. 130A-5(3). 

Notice is hereby given in accordance with G.S. 150B-21.2 
tfiat the EHNR - State Center for Health and Environmen- 
tal Statistics - Vital Records Section intends to amend ride cited 
as 15 A NCAC 19H .0702. 

Proposed Effective Date: October 1, 1995. 



Statutory Authority G.S. 130A-5(3). 
.1002 COVERED MEDICATIONS 



A Public Hearing will be conducted at 9:00 a. in. on July 18, 
1995 at the Norton Board Room, 6th Floor. Cooper Building. 
225 N. McDowell Street, Raleigh, NC 27603. 



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PROPOSED RULES 



Reason for Proposed Action: 77itv amertdment is necessary to 
specify current fees charged for providing vital records data for 
research purposes. Thus change will address specific fees for 
requests involving computer searches of five year periods, 
requests for data sets including individual names atvi other 
information, requests requiring computer programming, and 
replacement costs for the provision of data tapes. 

Comment Procedures: Individuals requiring information 
concerning or copies of the proposed rule should contact: Jan 
Ellington . Assistant Section Chief, Vital Records Section, P.O. 
Box 29537. Raleigh, NC 27626-0537. Ms. Ellington may also 
be contacted bx telephone at (919) 715-4402. Written comments 
may be sent to Ms. Ellington at the above address or submitted 
at the public hearing. Mailed written comments will be received 
by the division through August 2, 1995. Those desiring to speak 
at tiie hearing should contact Margie E. Rose at (919) 715-3393 
by Thursday, July 13. 1995. 

Fiscal Note: Tliis Rule affects the expenditure or distribution of 
State funds subject to the Executive Budget Act, Article 1 of 
Chapter 143. 

CHAPTER 19 - HEALTH: EPIDEMIOLOGY 

SUBCHAPTER 19H - VITAL RECORDS 

SECTION .0700 - FEES AND REFUNDS 

.0702 RESEARCH REQUESTS 

(a) The State Registrar may permit the use of data from vital 
records for research purposes. The State Registrar shall require 
the applicant to specify in writing the conditions under which 
the records or data will be used, stored, and disposed of; the 
purpose of the research; the research protocol; access limita- 
tions; and security precautions. 

(b) The State Registrar may determine fees charged for 
preparing, searching or providing information from, or 
non-certified copies of the vital records based on the estimated 
cost of obtaining the data and rendering the service. An hourly 
rate or charge per name searched may be imposed. The fee 
shall not exceed ten dollars ($10.00) per name searched. If 
expedited service is specifically requested, an additional fee of 
ten dollars ($10.00). in addition to all shipping and commercial 
charges, shall be charged in accordance with G.S. 
130A-93. 1(a)(2). The fee for computerized vitai records data 
shall equal the total of ten dollars ($10.00) for each computer 
search of a five year period, ten cents ($. 10) for each data set 
( individual name and other requested information) up to but not 
exceeding five thousand dollars ($5,000.00), programming costs 
(if necessary), and replacement costs for any data tapes pro- 
vided. 

(c) Vital records or data provided under this Rule shall be 
used only for the purposes described in the application. 

Statutory Authority G.S. 130A-92(7); 130A-93. 



TITLE 16 - DEPARTMENT OF 
PUBLIC EDUCATION 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the State Board of Education intends to adopt rule 
cited as 16 NCAC 6D 0106. 

Proposed Effective Date: November 1 , 1995. 

\ Public Hearing will be conducted at 9:30 a.m. on August 
4, 1995 at the Education Building Room 224, 301 N. 
Wilmington Street, Raleigh, NC 27601-2825. 

Reason for Proposed Action: Rule is needed to clarify 
statewide standards for providing educational services to 
students who liave limited English proficiency. 

Comment Procedures: Any interested person may present 
comments either orally at the hearing or in writing before or at 
the hearing 

Fiscal Note: 77;^ Rule does not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 6 - ELEMENTARY AND 
SECONDARY EDUCATION 

SUBCHAPTER 6D - INSTRUCTION 

SECTION .0100 - CURRICULUM 

0106 LIMITED ENGLISH PROFICIENCY 
PROGRAMS 

(a) Each superintendent or his delegate shall: 

( 1) identify resources available to serve limited English 
students; 

(2) coordinate programs and services to these students 
and their parents in the locai school administrative 
unit; 

(3) report information concerning the identification, 
placement, and educational progress of these 
students; and 

(4) report funding needs for the provision of services to 
these students to the SBE. 

(b) LEAs shall report annually to the SBE information 
including but not limited to the number of students whose 
primary home language is other than English, the number of 
limited English proficient students identified and receiving 
services, the nature of the services, the number of limited 
English proficient students receiving special education services 
and services for the academically gifted, and data required to be 
reported to the U. SL Department of Education. 

(c) A home language survey shall be administered to every 
student at the time of enrollment and maintained in the student's 
permanent record. LEAs shall then identify' and assess every 



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10:7 



PROPOSED RULES 



limited English proficient student who needs assistance in order 
to have access to the unit's instructional programs. Each LEA 
which identifies limited English proficient students who need 
assistance shall adopt an effective method of determining the 
students' current level of English proficiency in order to 
determine what types of assistance are needed. The method 
used should be one of the methods listed in the department's 
English as a Second Language (ESL) Resource Guide or the 
department's Guidelines for the Identification and Assessment 
of National Origin Students Who Are of Limited English 
Proficiency, unless some other suitable method can be effec- 
tively substituted. 

(d) LEAs shall adopt a program or programs for limited 
English proficient students who need assistance which, in the 
view of professional educators, has a reasonable chance of 
allowing students to progress in school. The program should be 
one described in the department's ESL Resource Guide unless 
some other suitable method or process can be effectively 
substituted. LEAs should use the guidelines for program entry 
criteria found in the department's ESL Resource Guide. LEAs 
shall conduct a program evaluation annually. 

(e) LEAs shall adopt appropriate evaluative standards for 
measuring the progress of limited English proficient students in 
school and should use the guidelines for program exit criteria 
found in the department's ESL Resource Guide. The students 
shall not be maintained in alternative language programs longer 
than necessary based on program exit criteria but should be 
monitored after exiting such programs in accordance with the 
department's ESL Resource Guide. 

(f) LEAs shall monitor the progress of limited English 
proficient students in English proficiency and in the BEP. When 
a limited English proficient student is not making progress in 
school, the LEA shall conduct an evaluation of the student's 
program and make modification as needed. 

(g) Limited English proficient students should participate in 
the statewide testing programs in accordance the department's 
Guidelines for Testing Students With Limited English Profi- 
ciency. When limited English proficient students are exempted 
from the statewide testing program, other appropriate methods 
shall be used to monitor the academic progress of these 
students. 

(h) LEAs shall promote the involvement of parents of 
students of limited English proficiency in the educational 
program of their children. LEAs shall notify national origin 
minority group parents of school activities which are called to 
the attention of other parents and these notices should be 
provided in the home language if feasible. 

(i) LEAs shall ensure that limited English proficient students 
are not assigned to or excluded from special education programs 
because of their limited English language proficiency. Evalua- 
tion, placement, and notification to parents of students with 
special needs shall be conducted in accordance with the 
Procedures Governing Programs and Services for Children with 
Special Needs. 

(j) LEAs shall ensure that limited English proficient students 
are not categorically excluded from programs for the academi- 
cally gifted and other specialized programs or support services 



such as guidance and counseling due to limited English profi- 
ciency. 

(k) LEAs should ensure that limited English proficient 
students are educated in the least segregative manner based on 
the educational needs of the student and these students should be 
included in al] aspects of the regular school program in which 
they can perform satisfactorily. 

(1) The department shall monitor the progress of LEAs in 
providing programs to all limited English proficient students 
using the same procedures and standards as provided in Title I ; 
Helping Disadvantaged Children Meet High Standards. 

(m) The department shall make available a list to all I FAs 
of teachers licensed in English as a Second Language (ESL). 
LEAs should support ESL training and add-on ESL licensure 
for teachers currently licensed in areas other than ESL. 

(n) Each LEA should consider joint agreements with other 
LEAs to provide programs to limited English proficient 
students. 

(o) Each I FA should coordinate services with those available 
at local community colleges in order to maximize efficient 
delivery of services to limited English proficient students and 
their parents. 

(p) The department shall administer the Teacher Education 
Program Approval process so as to ensure that all participants 
have an opportunity to gain an understanding of and develop 
strategies for addressing the educational needs of limited English 
proficient students. The Department shall work with IHEs to 
expand English as a Second Language teacher training pro- 
grams. 

Authority G.S. U5C-12(9)c; N.C Constitution, Article IX. Sec. 
5; 20 U.S. C. s. 1703. 



TITLE 21 - OCCUPATIONAL LICENSING BOARDS 

CHAPTER 1 - NORTH CAROLINA 
ACUPUNCTURE LICENSEVG BOARD 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the North Carolina Acupuncture Licensing Board 
intends to adopt rules cited as 21 NCAC 1 .0201. .0501 and 
.0701. 

Proposed Effective Date: October 1. 1995. 

A Public Hearing will be conducted at 2:00 p.m. on July 20, 
1995 at the Pack Memorial Library, 67 Haywood St. , Asheville, 
NC 28801. 

Reason for Proposed Action: 

21 NCAC 1 .0201 - To establish the procedure for renewing an 

acupuncture license. 

21 NCAC 1 .0501 - To establish rules for governing the 

licensure of schools and colleges of acupuncture in North 

Carolina. 

21 NCAC 1 .0701 - To establish the procedure for judicial 



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585 



PROPOSED RULES 



review of board's denying issuance of a license. 

Comment Procedures: Any person may submit written 
comments to the Board through August 2, 1995 or speak to the 
Rule-Making Coordinator at the Public Hearing on July 20, 
1995 at 2:00 p.m. at Pack Memorial Library Auditorium in 
Asheville, NC. 

Fiscal Note: Tliese Rules do not affect the expenditures or 
revenues of local government or state funds. 

SECTION 0200 - RENEWAL OF 
LICENSURE 

,0201 RENEWAL OF LICENSURE 

The procedure and requirements for renewal of license is as 
follows: 

(1) A license shall be renewed every two years in the 
month of the anniversary of the initial dale of licen- 
sure. Two months prior to the license renewal 
period, an application for renewal will be mailed to 
each licensee at the last address provided to the 
Board. Failure to receive notification during this 
period does not relieve the licensee of the responsibil- 
ity of meeting the continuing education requirements 
and renewal of his/her license. 

(2) An applicant for license renewal shall acknowledge 
on a form prepared by the Board that the licensee has 
completed the required continuing education units, the 
number of units completed, and a list of those pro- 
grams completed. The licensee shall retain such 
receipts, vouchers or certificates as may be necessary 
to document completion of the continuing education 
units required. 

(3) The licensee must pay the renewal fee prescribed in 
Rule .0103 of this Chapter. The licensee whose 
license has expired shall be subject to a late renewal 
fee in addition to the renewal fee. Both of these fees 
will be required for each licensure period lapsed. 

Statutory Authority G.S. 90-455. 

SECTION .0500 - SCHOOLS AND COLLEGES 
OF ACUPUNCTURE 

.0501 QUALIFICATIONS FOR ESTABLISHING 
A SCHOOL FOR ACUPUNCTURE IN 
NORTH CAROLINA 

(a) For the purposes of this Rule the terms mean: 

(1) "Acupuncture school " is an academic institution 
which has the sole purpose of offering training in 
acupuncture. 

(2) "Acupuncture program" is training in acupuncture 
offered by. an academic institution which also offers 
training in other areas of study. A program is an 
established area of study offered on a continuing 
basis. 



fb) In addition to and for the purposes of meeting the 
requirements of G.S. 90^454(3), an acupuncture college or 
program must meet the following standards: 

(1) submit a completed application; 

(2) submit fees as required by Rule .0103 of this 
Chapter; 

(3) offer an Acupuncture training program that extends 
over a minimum of three academic years, six 
semesters, nine quarters or 27 months; 

(4) offer education which consists of a minimum of 
1800 clock hours with a minimum of 900 hours of 
didactic and theoretical training and 600 hours of 
supervised clinic. A minimum of 400 hours of the 
600 hours of clinical training must be actual treat- 
ments; 



C2 



t6J 



(A) 
IB] 
LQ 
[Pi 



achieve candidacy status with the National Accredi- 
tation Commission for Schools and Colleges of 
Acupuncture and Oriental Medicine within one year 
of beginning classes and maintain accreditation 
throughout years of operation; 
provide a transcript of grades, as part of the 
student's record, that includes the following: 

name, 

address, 

date of birth, 



ffl 



fJ3 



Hh 



course titles, 
grades received, 

number of clock hours per course, 
grant a diploma stating that the student has success- 
fully completed the educational program in acu- 
puncture only after personal attendance in all 
required classes and completion of the program 
requirements; 

all teaching supervisors and resident teachers of 
acupuncture shall: 
be licensed to practice acupuncture in North 
Carolina; and 

have five years post-graduate acupuncture experi- 
ence; 
all visiting teachers of acupuncture shall: 
be licensed to practice acupuncture in North 
Carolina; or 

be licensed, certified, registered or legally recog- 
nized to practice acupuncture in the state or 
country in which she/he practices, have education 
and clinical experience in acupuncture equivalent 
to that required to practice acupuncture in North 
Carolina, and serve for no more than one year as 
a visiting teacher of acupuncture at the Acupunc- 
ture College. 



Statutory Authority G.S. 90-454. 

SECTION .0700 - ADMINISTRATIVE PROCEDURES 

.0701 JUDICIAL REVIEW OF BOARD'S 
DECISION DENYING ISSUANCE 



[A] 
IB] 

[A] 

LB) 



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PROPOSED RULES 



OF A LICENSE 

Whenever the North Carolina Acupuncture Licensing Board 
has determined that a person has failed to satisfy the Board of 
his qualifications and has failed to be issued a license, the Board 
shall immediately notify such person of its decision, and 
indicate in what respect the applicant has so failed to satisfy the 
Board. Such applicant shall be given a formal hearing before 
the Board upon request of such a pplicant filed with or mailed by 
registered mail to the secretary of the Board at P.O. Box 
25171, Asheville, NC 28813, within 60 days after receipt of the 
Board's decision, stating the reasons for such request. The 
Board shall within 20 days of receipt of such request notify such 
applicant of the time and place of a public hearing, which shall 
be held within 60 days. The burden of satisfying the Board of 
his qualifications for licensure shall be upon the applicant- 
Following such hearing, the Board shall determine whether the 
applicant is entitled to be licensed. 

Statutory Authority G.S. 90-454. 



THTLE 23 - DEPARTMENT OF COMMUNITY 
COLLEGES 

Notice is hereby given in accordance with G.S. 150B-21.2 
tliat the NC State Board of Community Colleges intends to 
amend rules cited as 23 NCAC 2C . 0210. 0301 and 2E 0403. 

Proposed Effective Date: January 1 . 1996. 

A Public Hearing will be conducted at 10:00 a.m. on August 
10. 1995 at the Caswell Building, State Board Room. 200 W. 
Jones Street. Raleigh, NC 27603-1379. 

Reason for Proposed Action: 

23 NCAC 2C .0210 - To require salary determination policies 
adopted by Community Colleges to include criteria and provi- 
sions for annual salary review; and establishment of formulas, 
ranges, or schedules. 

23 NCAC 2C ,0301 - To allow colleges to adopt policies- 
regulating admission and graduation of students enrolled in 
basic law enforcement training. 

23 NCAC 2E .0403 - To redefine captive or co-opted groups 
and establish new guidelines for State Board of Community 
Colleges action. 

Comment Procedures: Individuals who plan to make oral 
presentations must submit their remarks in writing to the hearing 
officer. A ten-minute or less time limit per person may be 
imposed for oral presentations. Interested persons may submit 
written statements from the date of this notice until August 10, 
1995, delivered or mailed to Dr. Lloyd V. Hackley, System 
President, NC Community College System, 200 W. Jones Street, 
Raleigh. NC 27603-1379. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 



CHAPTER 2 - COMMUNITY COLLEGES 

SUBCHAPTER 2C - COLLEGES: ORGANIZATION 
AND OPERATIONS 

SECTION .0200 - PERSONNEL 

0210 LOCAL COLLEGE PERSONNEL POLICIES 

(a) Each local board of trustees shall adopt and publish 
personnel policies addressing the following issues: 

( 1 ) Adverse weather; 

(2) Annual leave (vacation); 

(3) Drug and alcohol use; 

(4) Civil leave; 

(5) Communicable disease; 

(6) Compensatory leave; 

(7) Definitions of the employment categories and 
benefits for each: 

(A) Full-time permanent. 

(B) Part-time permanent. 

(C) Full-time temporary, and 

(D) Part-time temporary; 

(8) Disciplinary action addressing suspension and 
dismissal: 

(9) Educational leave (reference 23 NCAC 2D .0103): 

(10) Employee evaluation process; 

(11) Employee grievance procedures; 

(12) Employee personnel file; 

(13) Hiring procedures (written and describing proce- 
dures used for employment of both full- and 
part-time employees); 

(14) Leave transfer; 

(15) Leave without pay: 

(16) Longevity pay plan (reference 23 NCAC 2D 
.0109): 

(17) Military leave (reference 23 NCAC 2D .0104): 

( 18) Nepotism (reference 23 NCAC 2C .0204); 

(19) Non-reappointment; 

(20) Other employee benefits: 

(21) Political activities of employees (reference 23 
NCAC 2C .0208); 

(22) Professional development; 

(23) Reduction in force: 

(24) Salary determination methods for full- and part-time 
employees; 

(25) Sexual harassment; and 

(26) Tuition exemption (reference 23 NCAC 2D .0202). 

(b) The salary determination policy shall address at least the 
following: 

(1) provisions and criteria for salary determination: 

(2) requirements for annual salary review; and 

(3) establishment of salary formulas, ranges, or sched- 
ules. 

(c) fb)Each local board of trustees shall adopt and publish 
sick leave policies consistent with provisions of the State 
Retirement System. 

(d) fe)Each local board of trustees shall submit copies of 



10:7 



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July 3, 1995 



587 



PROPOSED RULES 



these policies, including amendments, to the System President's 
Office upon adoption. 

Statutory Authority G.S. 115D-5; 115D-20. 

SECTION .0300 - STUDENTS 

.0301 ADMISSION TO COLLEGES 

(a) Each college shall maintain an open-door admission 
policy to all applicants who are high school graduates or who 
are at least 18 years of age. Student admission and placement 
shall be determined by the officials of each college. Admission 
requirements for an emancipated minor shall be the same as for 
an applicant 18 years old or older. Provisions with respect to 
admission of minors are set forth in Rule .0305 of this Section. 

(b) Boards of trustees may adopt policies regulating admis- 
sion and graduation of students enrolled in courses mandated 
under G.S. 17C. North Carolina Criminal Justice Education and 
Training Standards Commission, or G.S. 17E, North Carolina 
Sheriffs' Education and Training Standards Commission. These 
policies may limit enrollment to law enforcement officers or 
persons sponsored by law enforcement agencies and may 
require a student to maintain sponsorship by a law enforcement 
agency until completion of the program. Policies adopted 
pursuant to this Paragraph shall be published and made available 
to students and prospective students. 

Statutory Authority G.S. 7A-71 7 through 7A-726; 17C-1 through 
17C-13; 17E-1 through 17E-11; U5D-1; 115D-5; 115D-20. 

SUBCHAPTER 2E - EDUCATIONAL PROGRAMS 

SECTION .0400 - INDUSTRIAL SERVICES 

.0403 INSTRUCTION TO CAPTIVE/CO-OPTED 
GROUPS 

(a) A college is required to obtain State Board approval prior 
to providing instruction to students who are classified clients or 
residents in a captive or co-opted, oo opt e d s e tting. Captive or 
co-opted groups of students are defined as This includes inmates 
in a correctional facility; correction facilities military personnel 
on military bases when classes are designed exclusively for 
military personnel; clients of sheltered workshops; workshops, 
domiciliary care facilities, nursing facilities, mental retardation 
centers, substance abuse and clients of sheltered workshops, 
residents of rest hom e s, nursing hom e s, alcoholic rehabilitation 
c e nt e rs, centers; and m e ntal r e tardation cent e r s ; and in-patients 
of psychiatric hospitals, mental hospitals, wh e n th e instruction 
i s provided in their re s pective facility. 

(b) A colleg e is r e quir e d to obtain approval prior to providing 
in s truction for any cour se on a military bas e . Instruction to 
captive or co-opted groups may be approved when it is deter- 
mined by the State Board that the proposed instruction for the 
group js not a function normally expected of the agency, and 
the instruction is within the purpose of the community college. 

(c) Cla ss e s for adult ba s ic education, adult high school 
diploma. GED preparation, and compensatory education are 



exempt — from prior approval requirements of this Rule. 

Instruction to captive or co-opted groups may be approved in 
the form of curriculum courses or occupational extension 
courses. 

(d) The request and supportive information to offer a course 
shall b e submitted to th e State Board. Basic Skills programs or 
courses are exempt from prior approval requirements of this 
Rule. 

fe) — Course approval for instruction to captive and co opted 
groups or instruction on a military baoo may b e approv e d wh e n 
it is d e termin e d by th e State Board that th e proposed instruction 
for the group is not a function normally exp e cted of the agency 
or the military and the instruction is within the purpose of the 
community coll e g e syst e m. 

Statuton Authority G.S. 115D-1; 115D-5. 



TITLE 25 - OFFICE OF STATE PERSONNEL 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the State Personnel Commission intends to adopt rules 
cited as 25 NCAC IE .1410 - .1411; U .0613 - .0615 ami 
amend rules cited as 25 NCAC ID .0509; IE . 1402 - . 1409; U 
.0604 - .0606, .0608, .0610 - .0612. 

Proposed Effective Date: October 1, 1995. 

A Public Hearing will be conducted at 9:00 am on August 3, 
1995 at the State Personnel Development Center, 101 West 
Peace Street, Raleigh, NC 27604. 

Reason for Proposed Action: These Rules are proposed to bt 
amended and adopted in order to offer guidance and clarifica- 
tion to state agencies in administering the provisions of Sever- 
ance Salary Continuation, Family and Medical Leave, and 
Disciplinary Action: Suspension and Dismissal. 

Comment Procedures: Interested persons may present 
statements either orally or in writing at the Public Hearing or 
in writing prior to the hearing by mail addressed to: Patsy 
Smith Morgan, Office of State Personnel, 116 West Jones Street, 
Raleigh, NC 27603. 

Fiscal Note: Tliese Rules do not affect the expenditures or 
revenues of state or local government funds. 

CHAPTER 1 - OFFICE OF STATE PERSONNEL 

SUBCHAPTER ID - COMPENSATION 

SECTION .0500 - SEPARATION 

.0509 SEVERANCE SALARY CONTINUATION 

Severance salary continuation shall be paid to a state employee 
who is terminated as a result of r e duction in force and for 
whom th e re is no fore s eeabl e opportunity for r ee mploym e nt at 



588 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



PROPOSED RULES 



the time of separation. This policy (Rulo) provides for uniform 
application of s e verance salary continuation for e mploy ee s who 
are involuntarily separat e d du e to r e duotion in forc e . — Payment 
is based on total state service suppl e mented by an ago factor. 
The ago factor recognize s that older employees, although 
proteot e d from discrimination on th e basis of ag e , do hav e a 
mor e difficult tim e finding n e w e mploym e nt du e to laok of 
transferable skills, current salary level, geographic location and 
other factors 

G.S. 143-27.2 provides for severance salary continuation or 
a discontinued service retirement allowance when the Director 
of the Budget determines that the closing of a State institution 
org reduction-in-force will accomplish economies in the State 
Budget, provided reemployment is not available. "Economies 
in the State Budget" means economies resulting from elimina- 
tion of a job and its responsibilities or from a lack of funds to 
support the job. The provisions outlined below provide for 
uniform application of severance salary continuation for eligible 
employees. 

(1) Eligible Employees: 

(a) A permanent full-time or part-time (20 hours or 
over) employee with a permanent a ppointment who 
does not obtain another permanent job in state 
government by the effective date of the reduction- 
in-force shall be eligible for severance salary 
continuation when separated. Also eligible are 
employees with trainee appointments who have 
completed six months of service, and employees 
who attained had a permanent appointment status 
prior to entering a trainee appointment. This shall 
not apply to employees whose reduction in force is 
not considered permanent; that is, employees who 
are roduoted reduced in force on a temporary or 
seasonal basis with the expectation that they will 
return to work within twelve months. 

(b) An employee who is separated at the end of with 
time-limited permanent probationary, temporary or 
intermittent appointment is not eligible for sever- 
ance salary continuation. 

(c) An employee Employees who are is separated on 
early retirement , service retirement , er long term 
disability r e tirem e nt or with a discontinued service 
retirement as provided by G.S. 143-27.2 ftfe is not 
eligible for severance salary continuation. An 
employee Employees who are is eligible for early 
or service retirement may, if it is to their advan- 
tage, elect to delay th e ir the employee's retirement 
and receive severance salary continuation for the 
prescribed period. 

(d) Employooo who are r ee mploy e d after b e ing termi 
noted ao a result of reduotion in fo r c o and who have 
previously received severance continuation pay 
ments are onJy eligible to receive the difference 
between previous payments and th e curr e nt oligibil 

(e) Employees who are reemployed from any retired 
status with the state and who are subsequently 



id) 



i£l 



(f) 



terminated as a result of reduction in forco shall be 
eligibl e for s e v e ronoe salary continuation without 
credit for aggr e gat e s e rvice prior to r e tir e d status. 
An employee who is receiving workers' compensa- 
tion or short-term disability payments is eligible for 
severance salary continuation. 
An employee on leave with pay or leave without 
pay shall be separated on the effective date of the 
reduction-in-force, the same as other employees, 
and shall be eligible to receive severance salary 
continuation on that date. 



(g) 



(2) 
(a) 



Permanen t An employees with a permanent ap- 
pointment scheduled to be separated by reduction- 
in-force, may accept a temporary state position or 
a contractual services arrangement and remain 
eligible to receive severance salary continuation in 
accord accordance with this policy. Section. 
A p e rma nent An employee with a permanent 
appointment scheduled to be separated through 
reduction-in-force may decline a lower level posi- 
tion and retain eligibility for severance salary 
continuation. 
Amount and Method of Payment: 
Severance salary continuation shall be based on 
total state service (except as noted in this Rule) and 
supplemented by an age adjustment factor as 
follows: 
(i) Amount of Salary Continuation: 
Years of Service Payment 

Less than 1 year 2 weeks 

i but less than 5 years 1 month 

5 but less than 10 years 2 months 

10 but less than 20 years 3 months 

20 or more years 4 months 

(ii) Age Adjustment Factor: 

An employee Employee s qualify for the age adjust- 
ment factor at 40 years of age. To compute the 
amount of the adjustment, 2.5 percent of the annual 
base salary will be added for each full year over 39 
years of age; age not to exceed 22 years (age 61). 
In the event an employee is not eligible for either 
s ocial se curity b e n e fits or retir e m e nt b e n e fits under 
th e T e ach e rs' and State Employ ee s' R e tir e ment 
System, the employee may receive credit for age 
beyond age 6 1 . however, the The total age adjust- 
ment factor payment is limited by the service 
payment and cannot exceed the total service pay- 
ments. 

Note: — At age 62, a career employee i s usually 
eligible for s ocial security benefits as well as 
benefits under th e T e ach e rs' and Stat e Employ ee s' 
R e tir e m e nt Syst e m both of which have been con 
tributcd to by the state. 

Example; — Ago 63; salary — twenty four thousand 
($2 4 ,000* dollar s /year; Service — 20 years. — How 
e v e r, th e ag e adjustm e nt factor cannot exceed the 
s e rvic e factor g o th o ag e factor i s limit e d to e ight 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



589 



PROPOSED RULES 



thousand dollars ($ 8 ,000). Tho total paym e nt is 
sixteen thousand dollars, 

(b) The amount to be paid to part-time employees will be 
calculated using total state service multiplied by the 
prorated monthly pay. 

(c) Severance salary continuation will be paid on a pay 
period basis and is not subject to employee or em- 
ployer retirement contributions, and as a result, will 
not be included in computing average final compensa- 
tion for retirement purposes. 

(d) Any period covered by severance salary continuation 
shall not be credited as a period of state service. 

(e) An employee who is reemployed in any permanent 
position with the state while receiving severance 
salary continuation will no longer be eligible for such 
pay effective on the date of reemployment. The 
reemploying agency shall be responsible for deter- 
mining if the former employee is receiving severance 
salary continuation payments. 

(f) If an employee dies while receiving severance salary 
continuation, the balance of such payment will be 
made to the deceased employee's death benefit 
beneficiary as designated with the Teachers' and State 
Employees' Retirement System in a lump sum 
payment. 

(g) An employee receiving severance salary continuation 
is not entitled to receive unemployment compensa- 
tion. 

(h) Funds for severance salary continuation will be 

provided as directed by the Office of State Budget 

and Management. 

(3) For each employee who receives severance salary 

continuation, agencies shall show on the separate 

form. Form PD-105, the calculation and amount of 

such payment. 

Statutory Authority G.S. 126-4(10); 143-27.2. 

SUBCHAPTER IE - EMPLOYEE BENEFITS 

SECTION .1400 - FAMILY AND MEDICAL LEAVE 

.1402 ELIGIBLE EMPLOYEES 

(a) Determining Eligibility r An employee's eligibility for 
Family and Medical Leave shall be made based on the env 
plovee's months of service and hours of uork as of the date 
leave is to commence. 

(b) (a) Permanent, Probationary, Trainee, and Time-Limited 
; Employce e— An employee who has been employed with State 
government for at least 12 months and who has work e d been in 
pay status at least 1040 hours (half-time) during the previous 12 
month period is entitled to a total of 12 workweeks, paid or 
unpaid, leave during any 12 month period for one or more of 
the reasons listed in this Paragraph. 

( 1 ) For the birth of a child and to care for the newborn 
child after birth, provided the leave is taken within 
a 12-month period following birth; (An expectant 



mother may also take Family and Medical Leave 
pursuant to paragraph B.4 of this Rule before the 
birth of the child for prenatal care or if her condi- 
tion makes her unable to work.) 

(2) For the placement of or employee to care for a 
child placed with the employee for adoption or 
foster care , provided the leave is taken within a 12- 
month period following adoption; (Family and 
Medical Lease must also be granted before the 
actual placement or adoption of a child if an ab- 
sence from work is required for the placement for 
adoption or foster care to proceed.) 

(3) For the employee to care for the employee's child, 
spouse, or parent, where that child, spouse, or 
parent has a serious health condition; or 

(4) Because the employee has a serious health condition 
that makes the employee unable to perform one or 
more of the functions of the employee's position. 

Leave without pay beyond the 12-week period for employees 
not covered under this Section shall be administered under 25 
NCAC IE .1100 Other Leave Without Pay. Under these 
provisions, employees must pay for health benefits coverage. 
(c) {&} Temporary Employees - This Section does not cover 
temporary employees since the maximum length of a temporary 
employees appointment is beyond one year, the employee shall 
be covered if he the employee has worked at least 1250 hours 
during the past 12-month period. Any leave granted to a 
temporary employee shall be without pay. This also applies to 
intermittent appointments, any other type of appointment that 
is not p e rman e nt, including intermitt e nt, if th e e mployee work e d 
at l e ast 1250 houro during th e previous 12 month p e riod. 

Statutory Authority G.S. 126-4(5); P.L. 103-3. 

.1403 DEFINITIONS 

(a) Parent - a biological or adoptive parent or an individual 
who stood in loco parentis (a person who is in the position or 
place of a parent) to an employee when the employee was a 
child. 

(b) Child - a son or daughter who is under 18 years of age 
or is 18 years of age or older and incapable of self-care because 
of a mental or physical disability who is: 

(1) a biological child; 

(2) an adopted child; 

(3) a foster child - a child for whom the employee 
performs the duties of a parent as if it were the 
employee's child; 

(4) a step-child - a child of the employee's spouse from 
a former marriage; 

(5) a legal ward - a minor child placed by the court 
under the care of a guardian; or 

(6) a child of an employee standing in loco parentis. 

(c) Spouse - a husband or wife recognized by the State of 
North Carolina. 

(d) Serious health condition: condition - an illness, injury' , 
impairment, or physical or mental condition that involves; 

( 1) on illness, injury, — impairment, or physical or 



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mental condition that involves oithor inpatient care 
in o hospital, hoopio e , or resid e ntial m e dical oar e 
facility, or that involv e s continuing tr e atm e nt by a 
health care provider; or inpatient care (i.e., an 
overnight stay) in a hospital, hospice or residential 
medical facility, including any period of incapacity 
(defined to mean inability to work, attend school or 
perform other regular daily activities due to the 
serious health condition, treatment for or recovery 
from), or any subsequent treatment in connection 
with such impairment; or 
(2) any period of incapacity requiring absence from 
work of moro than threo workdays , that also in 
volv e s continuing treatm e nt by a health care pro 
vider; or continuing treatment by a health care 
provider involving one or more of the following: 

(A) a period of incapacity as defined above of more 
than three consecutive days, and any subsequent 
treatment or period of incapacity relating to the 
same condition that also involves: 

(i) treatment two or more times by a health care 
provider, by a nurse or physician's assistant 
under the direct supervision of a health care 
provider, or a provider of health care ser- 
vices (e.g.. physical therapist) under orders 
cf, or on referral by a health care provider, 
or 
(ii) treatment on at least one occasion resulting in 
a regime of continuing treatment under the 
supervision of the health care provider 
(course of prescription medication, i.e.. 
antibiotic, or therapy requiring special equip- 
ment to alleviate the health condition, i.e., 
oxygen) 

(B) any period of incapacity due to pregnancy or for 
prenatal care, even when the employee or family 
member does not receive treatment from a health 
care provider during the absence and even if the 
absence does not last more than three days (pre- 
natal examinations, severe morning sickness). 

(C) any period of incapacity or treatment due to a 
"chronic serious health condition", even when the 
employee or family member does not receive 
treatment from a health care provider during the 
absence and even if the absence does not last 
more than three days, which is defined as one: 

tl) requiring periodic visits or treatment by a 
health care provider, or by a nurse or physi- 
cian's assistant under the direct supervision 
of a health care provider: 
(ii) continuing over an extended period of time 
(including recurring episodes of a single 
underlying condition); and 
(iii) which may cause episodic rather than contin- 
uing period(s) of incapacity (e.g., asthma, 
diabetes, epilepsy, etc.). 

(D) incapacity for a permanent or long-term condition 



for which treatment may not be effective 

(alzheimers, a severe stroke or terminal stages of 

a disease). 

(E) multiple treatments for restorative surgery or 

incapacity for serious conditions that would likely 

result in a period of incapacity of more than three 

consecutive calendar days in the absence of 

medical intervention or treatment (chemotherapy, 

radiation, dialysis, etc.). 

(3^ continuing treatm e nt by a health oar e provider for 

conditions so s e rious that, if not treated, would 

likely result in an absence of moro than three 

workdays. — Prenatal care is also included. The 

period of actual physical disability associat e d with 

childbirth is consider e d a oorious h e alth condition 

and must bo taken as family/medical leave, whether 

os paid or unpaid leave. 

(e) Health Care Provider. 

(1) a Doctor of medicine or osteopathy who is autho- 
rized to practice medicine or surgery in the State of 
North Carolina or; 

(2) any other person determined by statute, credential 
or licensure to be capable of providing health care 
services which include: 

(A) Podiatrists 

(B) Dentists 

(C) Clinical Psychologists 

(D) Optometrists 

(E) Chiropractors (limited to manual manipulation of 
spine to correct subluxation shown on radio- 
graphs) 

(F) Nurse Practitioners 

(G) Nurse Midwives 

(H) Clinical Social Workers 

(T) Christian Science Practitioners listed with First 
Church of Christ, Scientists in Boston, Massachu- 
setts. (In this situation, the employee cannot 
object to an agency requirement to obtain a 
second or third certification other than a Christian 
Science practitioner) 
(J) Health Care Providers from whom state approved 
group and HMO health plans will accept certifica- 
tion of serious health conditions to substantiate a 
claim for benefits 

(K) Foreign Health Care Providers in above stated 
areas who are authorized to practice in that 
country and who are performing within the scope 
of the laws 

(f) fe) Workweek - The number of hours an employee is 
regularly scheduled to work each week. 

(g) ff) Reduced Work Schedule - A work schedule involving 
less hours than an employee is regularly scheduled to work. 

(h) fg) Intermittent Work Schedule - A work schedule in 
which an employee works on an irregular basis and is taking 
leave in separate blocks of time, rather than for one continuous 
period of time, usually accommodate some form of regularly 
scheduled medical treatment. 



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591 



PROPOSED RULES 



(2) 
(3) 



(4) 



rij (k) 12-month period: 
(1) the calendar year; 

any fixed 12-month "leave year"; 
the 12-month period measured forward from the 
date any employee's first Family and Medical leave 
begins, or 

a "rolling" 12-month period measured backward 
from the date an employee uses any FMLA leave. 
The agency may choose either alternative provided it is applied 
consistently and uniformly to all employees. Employees must 
be given 60 days notice of any change and must not lose any 
benefits because of a transition. 

Statutory Authority G.S. 126-4(5); P. L. 103-3. 

.1404 LEAVE CHARGES 

(a) It is tho responsibility of the agency to designate loavo, 
paid or unpaid, as family and m e dioal leave, based on informa 
tion provid e d by the employ ee . This must b e done b e fore th e 
loavo starts, or boforo an extension of leave is granted if the 
employee is already on leave. If an employee on paid loavo has 
not provid e d information suffioi e nt to d e t e rmin e wh e th e r it io to 
be designat e d as family and m e dioal loavo, the ag e noy shall, 
after a period of 10 workdays, request that tho employee 
provide suffioient information to establi s h a family and medical 
leave qualifying reason for tho need e d l e av e . — This does not 
preclude th e ag e noy from requ e sting th e information soon e r, at 
any time an extension is requested. — If an omployoo takes paid 
leave and it is not designated by tho employee or employer as 
family and m e dioal l e av e , tho leave taken does not oount against 
th e e mployee's entitl e ment. — Th e e mploy ee has th e following 
options for charging loavo: Periods of paid leave and periods 
of leave without pay (including leave without pay while drawing 
short-term disability benefits) count towards the 12 workweeks 
to which the employee is entitled. This includes leave taken 
under the Voluntary Shared Leave Rules (25 NCAC IE . 1300). 

(b) Periods of paid leave and periods of leave without pay 
(including l e av e without pay whil e drawing short t e rm di s ability 
b e n e fits) oount towards the 12 workw e eks to which tho em 
ployoo is entitled. This includes loavo taken under the Volun 
tnry Shared Leave Rulos (25 NCAC IE .1300). Workers 
Compensation Leave - If an employee is out of workers' 
compensation leave drawing temporary total disability, the time 
away from work is not considered as a part of the family and 
medical leave 12-week entitlement. 

(c) Compensatory Leave - The agency cannot require an 
employee to use compensatory time for unpaid family and 
medical leave. 

(d) Employee Options - The employee has the following 
options for charging leave: 

(1) For the birth of a child, the employee may choose 
to exhaust available vacation or sick leave, or any 
portion, or go on leave without pay; except that 
sick leave may be used during the period of disabil- 
ity. This applies to both parents. 

(2) For the adoption of a child, the employee may 
choose to exhaust vacation leave, or any portion, or 



go on leave without pay. 

(3) For the illness of an employee's child, spouse, or 
parent, the employee may choose to exhaust avail- 
able sick or vacation leave, or any portion, or go 
on leave without pay. 

(4) For the employee's illness, the employee shall 
exhaust available sick and may choose to exhaust 
available vacation leave, or any portion, before 
going on leave without pay. If the illness extends 
beyond the 60-day waiting period required for 
short-term disability, the employee may choose to 
exhaust the balance of available leave or begin 
drawing short-term disability benefits. 

Statutory Authority G.S. 1 26-4(5 );P.L. 103-3. 

. 1405 INTERMITTENT LEAVE OR REDUCED 
WORK SCHEDULE 

(a) The employee may not take leave intermittently or on a 
reduced work schedule for child birth and birth related child 
care or for adoption unless the employee and agency agree 
otherwise. 

(b) When medically necessary, the employee may take leave 
intermittently or on a reduced schedule to care for the em- 
ployee's child, spouse, or parent who has a serious health 
condition. There is no minimum limitation on the amount of 
leave taken intermittently ; however, the agency may not require 
leave to be taken in increments of more than one hour . If such 
leave is foreseeable, based on planned medical treatment, the 
agency may require the employee to transfer temporarily to an 
available alternative position for which the employee is qualified 
and that has equivalent pay and benefits and better accommo- 
dates recurring periods of leave. 

(c) Only the time actually taken as leave may be counted 
toward the 12 weeks of leave to which the employee is entitled 
when leave is taken intermittently or on a reduced leave 
schedule. If the employee works a reduced or intermittent work 
schedule and does not use paid leave to make up the difference 
between the normal work schedule and the new temporary 
schedule to bring the number of hours worked up to the regular 
schedule, the agency must submit a Form PD-105 showing a 
change in the number of hours the employee is scheduled to 
work. This will result in an employee earning leave at a 
reduced rate. 

Statutory Authority G.S. 126-4(5); P. L. 103-3. 

. 1 406 AGENCY RESPONSIBILITY 

(a) The employee shall give notice to tho supervisor for leave 
requ e sted und e r this S e ction. Th e e mployee must explain th e 
r e asons for tho needed l e av e so as to follow th e ag e noy to 
determine that tho leave qualifies under thi s Section. Posting 
and Notification Requirements of Family and Medical Leave 
Act Provisions - Agencies are required to post and keep posted, 
in a conspicuous piace, a notice explaining the Family and 
Medical Leave Act provisions and providing information 
concerning the procedures for filing complaints of violations of 



592 



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PROPOSED RULES 



the Act with the U.S. Department of Labor, Wage and Hour 
Division. The agency must include the provisions of this 
Section in all written publications, such as handbooks, etc. In 
addition, each time an employee provides notice of the need for 
family and medical leave, the agency shall provide the em- 
ployee with written notice detailing the specific expectations and 
obligations of the employee and explaining any consequences of 
a failure to meed these obligations. 

fp Birth or adoption — The employee shall give the 

agency no l e ss than 30 days notic e , m writing, of 
the intention to toko l e av e , subj e ct to th e actual dat e 
of the birth or adoption. — tf the date of the birth or 
adoption requires leave to begin in loss than 30 
days, th e e mployee shall provid e such notic e as is 
practicabl e . 
(3} Planned Medical Treatment — When the necessity 

for leave is to care for the employee's child, spouso 
or par e nt or becaus e the employe e has a s e rious 
health condition, th e e mploy ee must give 30 day's 
notice if practicable of the intention to take leave. 

(b) If the employee will not return to work, the agency shall 
be notifi e d in writing. Failur e to r e port at th e e xpiration of th e 
leave, unl e ss an e xt e nsion ha s been r e quested, may b e consid 
crod as a resignation. Notice of Eligibility - It is the agency's 
responsibility to determine that an employee is eligible for 
family and medical leave. If an employee notifies the employer 
of the need for family and medical leave before the employee 
meets the eligibility criteria, the agency is required to: 

(1) confirm the employee's eligibility effective on the 
date leave is to start; or 

(2) advise the employee when the requirement will be 
met. 

This decision cannot be reversed. No additional notice for 
family and medical leave from the employee is required. 
If the agency does not advise the employee whether the 
employee is eligible prior to the date the leave is to start, the 
employee will be deemed eligible. The agency shall not deny 
the leave. 

If the employee does not give notice of the need for leave 
more than two workdays before beginning leave, the employee 
wili be deemed to be eligible unless notified of ineligibility 
within two workdays of the date the notice is received. 

(c) Designation of Leave as Family and Medical Leave. It 
is the responsibility of the agency to: 

(1) determine that leave requested is for a family and 
medical leave qualifying reason, and 

(2) designate leave, whether paid or unpaid, as family 
and medical leave even when an employee would 
rather not use any of his or her family and medical 
leave entitlement. 

The key in designating family and medical leave is the qualify- 
ing reason(s), not the employee's election or reluctance to use 
family and medical leave or to use all, some or none of the 
accrued leave. The agency's designation must be based on 
information obtained from the employee or an employee's 
representative (e.g., spouse, parent, physician, etc.). 

(d) Designation of Paid Leave as Family and Medical Leave. 



When an employee gives notice of the need for family and 
medical leave and the employee is using paid leave, whether 
required or optional, the agency shall designate whether it 
qualifies for family and medical leave before the leave starts. 
If information is not sufficient to make the determination, the 
agency shall require the employee to provide the information. 
All leave taken can be designated as family and medical leave; 
however, if sufficient information was available and the 
designation or notice was not given, the leave cannot be 
designated as family and medical leave retroactively. 

When an employee is on paid leave but has not given notice 
of the need for family and medical leave, the agency shall, after 
a period of 10 workdays, request that the employee provide 
sufficient information to establish whether the leave is for a 
family and medical leave qualifying reason. This does not 
preclude the agency from requesting the information sooner, or 
at any time an extension is requested. 

If an absence which begins as other than family and medical 
leave later develops into a family and medical leave qualifying 
absence, the entire portion of the leave period that qualifies 
under the Family and Medial Leave Act may be counted as 
family and medical leave. 

Once the agency has knowledge that the leave is being taken 
for a family and medical leave required reason, the agency 
must, within two business days absent extenuating circum- 
stances, notify' the employee that the leave is designated and will 
be counted as family and medical leave. The notice may be 
oral or in writing, but must be confirmed in writing no later 
than the following payday. 

(e) Designation of Family and Medical Leave After Return 
to Work - The agency shall not designate leave that has already 
been taken as family and medicai leave until the employee 
returns to work, except: 

(1) if an employee is out for a reason that qualifies for 
family and medical leave and the agency does not 
leave of the reason for the leave until the employee 
returns to work, the agency may designate the leave 
as family and medical leave within two business 
days of the employees return; or 

(2) if the agency has provisionally designated the leave 
under family and medical leave and is awaiting 
receipt from the employee of documentation. 

Similarly, the employee is not entitled to the protection of the 
Family and Medical Leave Act if the employee gives notice of 
the reason for the leave later than two days after returning to 
work. 

Statutory Authority G.S. 126-4(5); P.L. 103-3. 

.1407 EMPLOYEE RESPONSIBILITY 

(a) Th e ag e ncy may require that a claim for l e av e b e caus e of 
adoption bo supported by acceptable proof of adoption. The 
employee shall give notice to the supervisor for leave requested 
under this Section. The employee must explain the reasons for 
the needed leave in order to follow the agency to determine that 
the leave qualifies under this Section. 

(P Birth or adoption - The employee shall give the 



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July 3, 1995 



593 



PROPOSED RULES 



agency no less than 30 days notice, in writing, of 
the intention to take leave, subject to the actual date 
of the birth or adoption. If the date of the birth or 
adoption requires leave to begin in less than 30 
days, the employee shall provide such notice as is 
practicable, which means within one or two busi- 
ness days of when the need for leave becomes 
known to the employee. 

(2) Planned Medical Treatment - When the necessity 
for leave is to care for the employee's child, spouse 
or parent or because the employee has a serious 
health condition, the employee must give 30 days 
notice if practicable of the intention to take leave. 
For planned medical treatment, employee consulta- 
tion with the supervisor prior to the request for 
family and medical leave is mandatory. 

(3) Medical Emergency - In the case of a medical 
emergency requiring leave because of an em- 
ployee's own serious health condition, an agency 
cannot require written advance notice. 

(b) The agency may require that a claim for leave because of 
a s erious illn e ss of th e e mploy ee or of th e e mploy ee 's child, 
spous e , or parent b e supported by a doctor'o c e rtification which 
includes the following: If the employee will not return to work, 
the agency shall be notified in writing. Failure to report at the 
expiration of the leave, unless an extension has been requested, 
may be considered as a resignation. 

(4-) The date on which the serious health condition 

(2) Th e probabl e duration of th e condition; 

{3) Th e appropriate medical facts r e garding th e condi 

(4) A statement that the leave is needed to care for th e 
child, spous e , or par e nt, and an e stimat e of th e 
amount of time that is needed; or that th e e mploy ee 
is unable to perform the functions of the position, 
whichever applies; and 

(5) Wh e r e c e rtification is n e c e ssary for int e rmittent 
l e av e for plann e d m e dical tr e atment, the dat e s on 
which the treatment is expected to be given and the 
duration of the treatment. 

(c) Wh e re th e ag e ncy has r e ason to doubt the validity of the 
c e rtification, th e ag e ncy may r e quir e th e e mployee to g e t th e 
opinion of a second doctor designated or approved by the 
agency. Where the second opinion differs from the opinion in 
th e original c e rtification provided, th e ag e ncy may r e quire th e 
employee to get th e opinion of a third doctor designat e d or 
approved jointly by the employer and the employee. — The third 
opinion i s final and is binding on the agency and the employee. 
Th e ag e ncy may require that the e mploy ee g e t sub se qu e nt 
r e c e rtifioations on a r e asonabl e basis. — Th e s e cond and third 
certification and the reoertifioations must be at the agency's 
expense. Certification - The employee shall provide certifica- 
tion in accordance with the provisions set out in Rule 25 NCAC 
IE .1408 of this Section. If the employee does not provide 
medical certification, any leave taken is not family and medical 
leave. 



Statutory Authority G.S. 126-4(5); P. L. 103-3. 

1408 CERTIFICATION EMPLOYMENT AND 
BENEFITS PROTECTION 

(a) Reinstatement — The employee 3hall be reinstated to the 
s am e position h e ld when the l e av e b e gan or on e of lik e pay 
grad e , pay. b e n e fits, and oth e r conditions of e mployment. — The 
agency may require the employee to report at reasonable 
intervals to the employer on the employee' s status and intention 
to r e turn to work. — The agency al s o may require that the 
employee rec e iv e c e rtification that th e e mploy ee io able to 
return to work. Adoption - The agency may require that a 
claim for leave because of adoption be supported by reasonable 
proof of adoption. 

(b) Benefits — Th e e mploy ee shall bo reinstat e d without loss 
of benefits accrued when the leave began. — All benefits accrue 
during any period of paid leave; however, no benefits will bo 
accrued during any period of l e ave without pay. Medical 
Certification - The agency may require that a claim for leave 
because of a serious illness of the employee or of the em- 
ployee's child, spouse, or parent be supported by a certification 
from the health care provider; however, if the employee is 
using paid leave, the agency cannot require a more stringent 
certification than normally required. If the employee is using 
unpaid family and medical leave, the certification requirements 
can be no greater than the following: 

(1) When the leave is foreseeable and at least 30 days 
notice has been provided, the employee should 
provide the medical certification before the leave 
begins. 

(2) When it is not possible to provide the medical 
certification before the leave begins, the employee 
must provide the requested certification to the 
agency with the time frame requested by the agency 
(which must allow at least 15 calendar days after 
the agency's request), unless it is not practicable 
under the circumstances. 

(3) At the time the agency requests certification, the 
agency must also advise the employee of the 
anticipated consequences of an employee's failure 
to provide adequate certification. The agency shall 
so provide the employee a reasonable opportunity 
to correct any incomplete information. 

(c) Health Benefits — The State shall maintain coverage for 
the employee under the State's group health plan for the 
duration of l e av e at the lev e l and und e r th e condition s cov e rag e 
would have been provided if th e e mploy ee had continued 
employment. — Any share of health plan premiums which an 
employee had paid prior to leav e must continue to be paid by 
th e e mploy ee during the leav e p e riod. — The obligation to 
maintain h e alth insuranc e cov e rag e stops if an e mploy ee 's 
premium payment i s more than 30 day s lat e . — If the employee's 
failure to make the premium payments leads to a lapse in 
cov e rag e , th e e mployer must still re s tor e the employ ee , upon 
r e turn to work, to the health cov e rag e e quival e nt to that th e 
employee would have had if leave had not been taken and the 
premium payments had not been missed without any waiting 



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PROPOSED RULES 



period or preexisting conditions. The; agency may rocovor the 
premiums if the employ ee fails to return after th e p e riod of 
leave to which the employ ee is e ntitled hao e xpir e d for a r e ason 
other than the continuation, recurrence, or onset of a serious 
health condition or other circumstances beyond the employee's 
control. Medical Certification Form - Form WH-380. is an 
optional form that was developed by the Department of Labor 
for use in obtaining medical certification, including second and 
third opinions. Another form containing the same basic 
information may be used; however, no information in addition 
to that requested on Form WH-380 may be required. 

(d) Validity of the Certification. 

(1) If an employee submits a complete certification 
signed by the health care provider, the agency may 
not request additional information; however, a 
health care provider representing the agency may 
contact the employee's health care provider, with 
the employee's permission, for purposes of clarifi- 
cation and authenticity of the medical certification. 

(2) An agency who has reason to doubt the validity of 
a medical certification may require the employee to 
obtain a second opinion at the agency's expense. 
Pending receipt of the second (or third) opinion the 
employee is provisionally entitled to family and 
medical leave. If the certifications do not ulti- 
mately establish the employee's entitlement to 
family and medical leave, the leave shall not be 
designated as family and medical leave. The 
agency is permitted to designate the health care 
provider to furnish the second opinion, but the 
selected health care provider may not be employed 
on a regular basis by the agency unless the agency 
is located in an area where access to health care is 
extremely limited. 

(3) If the opinions of the employee's and the agency's 
designated health care providers differ, the agency 
may require the employee to obtain certification 
from a third health care provider, again at the 
agency's expense. This third opinion shall be final 
and binding. The third health care provider must 
be designated or approved jointly by the agency and 
the employee. 

(4) The agency must reimburse an employee or family 
for reasonable "out of pocket" travel expenses 
incurred to obtain the second and third medical 
opinions. The agency may not require the em- 
ployee or family member to travel outside normal 
commuting distance except in very unusual circum- 
stances. 

(5) The agency is required to provide the employee, 
within two business days, with a copy of the second 
and third medical opinions, where application, upon 
request by the employee. 

(e) Recertification of Medical Conditions. 

(1) An agency may request recertification no more 

often than every 30 days unless: 
(A) an extension is requested. 



(B) circumstances described by the previous certifica- 
tion have changed significantly, or 

(C) the agency receives information that casts doubt 
upon the employee's stated reason for the ab- 
sence. 

(2) If the minimum duration specified on a certification 
is more than 30 days, the agency may not request 
recertification until that minimum duration has 
passed unless one of the conditions in Paragraph 
(e)(l)(A),(B) or (C) of this Rule is met. 

(3) The employee must provide the requested recertifi- 
cation to the agency within the time frame re- 
quested by the agency (which must allow at least 15 
calendar days after the agency's request), unless it 
is not practicable under the particular circum- 
stances. 

(4) Any recertification requested by the agency shall be 
at the employee's expense unless the agency pro- 
vides otherwise. No second or third opinion on 
recertification may be required. 

Statutory Authority G.S. 126-4(5); P.L. 103-3. 

. 1409 EMPLOYMENT AND BENEFITS PROTECTION 

(a) Actions Prohibited — It is unlawful to interfere with, 
restrain, or d e ny any right provid e d by this Section or to 
discharg e or in any oth e r mann e r discriminat e against an 
employee for opposing any practice made unlawful by this 
Section. Reinstatement - The employee shall be reinstated to 
the same position held when the leave began or one of like pay 
grade, pay, benefits, and other conditions of employment. The 
agency may require the employee to report at reasonable 
intervals to the agency on the employee's status and intention to 
return to work. The agency also may require that the employee 
provide certification that the employee is able to return to work. 

(b) Protected Activity — It i s unlawful to discharge or in any 
other manner discriminate against any employee because the 
e mploy ee do e s any of th e following: Benefits - The employee 
shall be reinstated without loss of benefits accrued when the 
leave began. All benefits accrue during any period of paid 
leave; however, no benefits will be accrued during any period 
of leave without pay. 

(4-) Fil e s any civil action, or institut e s or caus e s to b e 

instituted any civil proceeding under or related to 
this Section; 

(3) Giv es , or is about to giv e , any information in 
conn e ction with any inquiry or proceeding r e lating 
to any right provided by thi s Section; or 

(3} Testifies, or is about to testily 1 , in any inquiry or 
proceeding relating to any right provid e d und e r this 
S e ction. 

(c) A violation of or denial of leave reque s ted pur s uant to the 
Family and Medical Leave Act of 1993 i s not a contested case 
and creates no right of gri e vanc e or app e al pursuant to th e Stat e 
P e rsonn e l Act (G.S. 126). — Violation s can result in any of th e 
following or a combination of any of the following and are 
enforced by the U.S. Secretary of Labor: Health Benefits - The 



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595 



PROPOSED RULES 



State shall maintain coverage for the employee under the State s 
group health plan for the duration of leave at the level and 
under the conditions coverage would have been provided if the 
employee had continued employment. Any share of health plan 
premiums which an employee had paid prior to leave must 
continue to be paid by the employee dunng the leave period. 
The agency must give advance written notice to employees of 
the terms for payment of premiums during family and medical 
leave. The obligation to maintain health insurance coverage 
stops if an employee s premium payment is more than 30 days 
late. The agency must provide 15 days notice that coverage 
will cease. If the employee's failure to make the premium 
payments leads to a lapse in coverage, the agency must still 
restore the employee, upon return to work, to the health 
coverage equivalent to that the employee would have had if 
leave had not been taken and the premium payments had not 
been missed without any waiting period or preexisting condi- 
tions. The agency may recover the premiums if the employee 
fails to return after the period of leave to which the employee 
is entitled has expired for a reason other than the continuation, 
recurrence, or onset of a serious health condition or other 
circumstances beyond the employee's control. 

f4-) U.S. D e partm e nt of Labor inv es tigation; or 

(2-) Civil liability with tho imposition of court cost and 

attorney's foes; or 
f3^ Administrativ e action by th e U.S. Departm e nt of 
Labor. 

Statutory Authority G.S. 126-4(5). PL. 103-3. 

.1409 EMPLOYMENT AND BENEFITS PROTECTION 

(a) Actions Prohibited — It i s unlawful to interfere with, 
restrain, or deny any right provided by this Section or to 
discharg e or in any other mann e r discriminat e again s t an 
e mployee - for opposing any practic e mad e unlawful by this 
Section. Reinstatement - The employee shall be reinstated to 
the same position held when the leave began or one of like pay 
grade, pay, benefits, and other conditions of employment. The 
agency may require the employee to report at reasonable 
intervals to the agency on the employee's status and intention to 
return to work. The agency also may require that the employee 
provide certification that the employee is able to return to work. 

(b) Prot e ct e d Activity — It 10 unlawful to discharge or in any 
other manner discriminate against any employee because the 
employee doe s any of the following: Benefits - The employee 
shall be reinstated without loss of benefits accrued when the 
leave began. All benefits accrue during any period of paid 
leave; however, no benefits will be accrued during any period 
of leave without pay. 

f4-) Fil e s any civil action, or institutes or causes to b e 

institut e d any civil proceeding und e r or r e lat e d to 
this Section; 

(3) Gives, or is about to give, any information — tft 
conn e ction with any inquiry or proc ee ding relating 
to any right provided by this S e ction; or 

(3) Testifies, or i s about to testily', in any inquiry or 
proceeding relating to any right provided under thi3 



Section. 
(c) A violation of or d e nial of l e ave requested pursuant to th e 
Family and M e dical L e av e Act of 1993 is not a cont e st e d cas e 
and creates no right of grievance or appeal pursuant to the State 
Personnel Act (G.S. 126). — Violations can result in any of the 
following or a combination of any of th o following and are 
e nforced by th e U.S. S e cretary of Labor: Health Benefits - The 
State shall maintain coverage for the employee under the State's 
group health plan for the duration of leave at the level and 
under the conditions coverage would have been provided if the 
employee had continued employment. Any share of health plan 
premiums which an employee had paid prior to leave must 
continue to be paid by the employee during the leave period. 
The agency must give advance written notice to employees of 
the terms for payment of premiums dunng family and medical 
leave. The obligation to maintain health insurance coverage 
stops if an employee's premium payment is more than 30 days 
late. The agency must provide 15 days notice that coverage 
will cease. If the employee's failure to make the premium 
payments leads to a lapse in coverage, the agency must still 
restore the employee, upon return to work, to the health 
coverage equivalent to that the employee would have had if 
leave had not been taken and the premium payments had not 
been missed without any waiting period or preexisting condi- 
tions. The agency may recover the premiums if the employee 
fails to return after the period of leave to which the employee 
is entitled has expired for a reason other than the continuation, 
recurrence, or onset of a serious health condition or other 
circumstances beyond the employee's control. 

f-H U.S. D e partment of Labor investigation; or 

f2) Civil liability with th e imposition of court co s t and 

attorney's fees; or 
(3-) Admini s trative action by the U.S. Department of 
Labor. 

Statutory Authority G.S. 126-4(5 ); P.L. 103-3. 

. 1410 INTERFERENCE WTTH RIGHTS 

(a) Actions Prohibited - It is unlawful to interfere with, 
restrain, or deny any right provided by this Section or to 
discharge or in any other manner discriminate against an 
employee for opposing any practice made unlawful by this 
Section. 

(b) Protected Activity - It is unlawful to discharge or in any 
other manner discriminate against any employee because the 
employee does any of the following: 

(1) Files any civil action, or institutes or causes to be 
instituted any civil proceeding under or related to 
this Section; 

(2) Gives, or is about to give, any information in 
connection with any inquiry or proceeding relating 
to any right provided by this Section; or 

(3) Testifies, or is about to testify, in any inquiry or 
proceeding relating to any right provided under this 
Section. 

(c) A violation of or denial of leave requested pursuant to the 
Family and Medical Leave Act of 1993 is not a contested case 



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10:7 



PROPOSED RULES 



and creates no right of grievance or appeal pursuant io the State 
Personnel Act (G.S, 126). Violations can result in any of the 
following or a combination of any of the following and are 
enforced by the U.S. Secretary of Labor: 

(1) U.S. Department of Labor investigation; or 

(2) Civil liability with the imposition of court cost and 
attorney's fees; or 

(3) Administrative action by the U.S. Department of 
Labor. 

Statutory Authority G.S. 126-4(5): P.L. 103-3. 

.1411 RECORDKEEPING REQUIREMENTS 

(a) Agencies are required to keep records for no less than 
three years and make them available to the Department of 
Labor upon request. In addition to the records required by the 
Fair Labor Standards Act, the agency must keep records of: 

(1) dates family and medical leave is taken, 

(2) hours of leave if less than a full day. 

(3) copies of employee notices, 

(4) documents describing employee benefits, 

(5) premium payments of employee benefits, and 

(6) records of any disputes. 

(b) Records and documents relating to medical certifications, 
receitifications or medical histories of employees or employees' 
family members, created for purposes of family and medical 
leave, shall b maintained as confidential medical records in 
separate files/records from the usual personnel files, and if the 
American With Disabilities Act (ADA) is also applicable, such 
records shall be maintained in conformance with ADA confi- 
dentiality requirements, except that: 

(1) Supervisors and managers may be informed regard- 
ing necessary restrictions on the work or duties of 
an employee and necessary accommodations, 

(2) First aid and safety personnel may be informed 
(when appropriate) if the employee's physical or 
medical condition might require emergency treat- 
ments; and 

(3) Government officials investigating compliance with 
the Family and Medical Leave Act (or other perti- 
nent law) shall be provided relevant information 
upon request. 

Statutory Authority G.S. 126-4(5); P.L. 103-3. 

SUBCHAPTER 1J - EMPLOYEE RELATIONS 



appointing authority in accordance with the provisions of this 
Rule. When just cause exists the only disciplinary actions 
provided for under this Section are: 

(1) Written warning; 

(2) Disciplinary suspension without pay; 

(3) Demotion; and 

(4) Dismissal. 

(b) There are two bases for the discipline or dismissal of 
employees under the statutory standard for "just cause" as set 
out in G.S. 126-35. These two bases are: 

(1) Discipline or dismissal imposed on the basis of 
unacceptable unsatisfactory job performancCi 
including grossly inefficient job performance. 

(2) Discipline or dismissal imposed on the basis of 
unacceptable personal conduct. 

fe) — Tho term "unacceptable job porformnneo" moans the 
failure to satisfactorily perform job requirements as specified in 
th e job d e scription, work plan, or as directed by manag e ment 
of th e work unit or ag e noy. — Satisfactory p e rformanc e is that 
performance which is reasonable under all tho circumstances. 
Determination of satisfactory performance shall be made by the 
sup e rvisor, th e r e io a pr e sumption that th e d e t e rmination is 
prop e r and factually support e d 
(d) Tho term "unacceptable personal conduct" is dc fined as: 
{+) conduct for which no reasonable person should 

exp e ct to rocoiv e prior warnings; 
(2) job related conduct which constitut e s a violation of 

state or federal laws; 
0) conviction of a felony or an offense involving 
moral turpitud e ; 

(4) or th e willful violation of know or writt e n work 
rules; 

(5) conduct unbecoming a state employee that is dotri 
m e ntal to stat e s e rvio e . 

(c) (e) Either unacc e ptabl e unsatisfactory or grossly ineffi- 
cient job performance or unacceptable personal conduct as 
defined in 25 NCAC 1J. 0614 of this Section constitutes just 
cause for discipline or dismissal. The categories are not 
mutually exclusive, as certain actions by employees may fall 
into both categories, depending upon the facts of each case. No 
disciplinary action shall be invalid solely because the disciplin- 
ary action is labeled incorrectly. 

(d) The imposition of any disciplinary action shall comply 
with the procedural requirements of this Section. 

Statutory Authority G.S. 126-1.1; 126-35. 



SECTION .0600 - DISCIPLrNARY ACTION: 
SUSPENSION AND DISMISSAL 

.0604 JUST CAUSE FOR DISCffLrNARY ACTION 

(a) Any employee, regardless of occupation, position or 
profession may be warned, demoted, suspended or dismissed by 
the appointing authority. Such actions may be taken against 
career employees as defined at G.S. 126 1 A 126-1.1 and 126- 
39, only for just cause. The degree and type of action taken 
shall be based upon the sound and considered judgment of the 



.0605 DISMISSAL FOR UNSATISFACTORY 
PERFORMANCE OF DUTIES 

(a) In administering this policy Section , supen'isors should be 
aware that, in part, the intent of this policy Section is to assist 
and promote improved employee performance, rather than to 
punish. This category covers all types of performance-related 
inadequacies. This po li cy Section does not require that progres 
stve warnings successive disciplinary actions all concern the 
same type of unsatisfactory performance. Warning s Disciplin- 
ary actions related to personal conduct may be included in the 



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PROPOSED RULES 



progressive successive system for performance-related dismissal 
provided that the employee receives at least the number of 
warnings disciplinary actions , regardless of the basis of the 
warnings disciplinary actions , required for dismissal on the basis 
of inadequate performance. Warninga Disciplinary actions 
administered under this policy Section are intended to bring 
about a permanent improvement in job performance; should the 
required improvement later deteriorate, or other inadequacies 
occur, the supervisor may deal with this new unsatisfactory 
performance at th e n e xt l e v e l of di s ciplin e with further disciplin- 
ary action . 

(b) In order to be dismissed for a current incident of unsatis- 
factory job performance an employee must first Employees who 
aro dismiss e d for unsatisfactory job p e rformanc e shall receive 
at least throo warnings two prior disciplinary actions : First, one 
or more ere! written warnings; second, a written warning to the 
employee documenting all relevant points covered in the 
disciplinary discussion; third, a final writt e n warning followed 
by a warning or other disciplinary action which notifies the 
employee that failure to make the required performance 
improvements may result in dismissal. 

(c) Prior to the decision to dismiss an employee, a manage- 
ment representative must conduct a pre-dismissal conference 
with the employee in accordance with the procedural require- 
ments of this Section. In administering this policy, supervisors 
should bo aware that, in part, th e intent of this policy is to assist 
and promote improv e d e mploye e p e rformanc e , rath e r than to 
punish. 

fty Oral Warning. 

{A) Th e supervisor is responsible for assuring th e 
satisfactory p e rformanc e work assign e d to his 
vstih — When, in the judgment of the supervisor, 
unsatisfactory performance occurs, then use of 
the disciplinary proc e ss may b e appropriat e . 
fB) In a privat e discussion with th e e mployee, the 
supervisor shall do the following: 
fi) Inform the employee that this is a warning, 
and not som e oth e r non disciplinary proc e ss 
s uch as couns e ling; 
fit) Inform the employee of the specific porfor 
manco deficiencies that arc the basis for the 
warning; 
fiti) T e ll th e e mploy ee what sp e cific improv e 
ments must bo made to correct the unsatisfac 
tory performance; 
(iv) Let th e e mploy ee know what tim e is b e ing 
allowed to mak e th e requir e d improvements; 
(v) Tell the employee of the consequences of 
failing to moke the required improvements. 
Note: It is a recomm e nded personn e l practic e to al l ow th e 
e mployee to respond to th e sp e cific reasons for th e warning. — fa* 
some oases this may affect the supervisor's deci s ion on whether 
to discipline an employee. — Supervi s ors should also record the 
dat e and sp e cifics of the warning for possible future us e . 
(£) Writt e n warning. — In a private meeting with th e 
employee the supervisor shall: 
fA) Conduct a disciplinary conference with the cm 



ployec; this disciplinary conference should follow 
th e sam e steps as set forth for an oral warning; 
fB) T e ll th e employee he will receive a writt e n 
warning covering all significant points of this 
conference: 
fG) Prepare and s e nd to th e e mployee a writt e n 
warning cov e ring all significant points of th e 
disciplinary conference: care should be taken to 
include the specific reasons for the warning. 
Note: R e f e renc e may b e mad e in this warning to docum e nt an 
e arli e r oral warning. 

(5) Final Written Warning. 

fA) Before issuing the final written warning, the 

s up e rvisor and appropriat e ag e ncy manag e m e nt 

should r e vi e w th e contents of th e warning. — The 

following steps shall be taken in issuing a final 

written warning: 

fi) Prepare a final writt e n warning to th e e m 

ploy ee ; car e should b e tak e n to includ e th e 

spec i fie reasons for the warning; 

(h) In private, conduct a disciplinary conference 

with th e e mployee; at this conf e r e nc e , th e 

sp e cific reason for th e action, tho necessary 

improvements and the time allowed to make 

improvements should be discussed; 

(+H-) Pr e s e nt th e warning to th e e mployee at th e 

e nd of th e conference; tho employ ee should 

be informed, cither orally or in the warning, 

that failure to correct the unsatisfactory 

p e rformanc e may result in dismissal. 

fB) During th e p e riod after a final writt e n warning 

has been given, management, in its discretion, 

may choose to counsel with tho employee con 

c e ming his e mploym e nt status before a decision 

to dismiss is mad e . — Such couns e ling should 

involve a discussion of tho necessity for the 

em ployee's commitment to improve performance r 

As a part of this couns e ling, manag e m e nt may 

roqueot tho employ ee to tak e up to a day's l e av e 

with pay to consider whether or not the employee 

wishes to continue his employment with the 

ag e ncy. — This tim e away from th e job sit e shall 

not bo charg e d to th e employee's vacation or s ick 

leave; it shall be considered as tho employee's 

assignment for that time not at tho normal job 

site. It should b e stress e d to th e e mploy ee that a 

d e cision to continue employment with tho agency 

will require a commitment to improve porfor 

manco, and that a lack of improvement will load 

to dismissal. — Cl e arly, such a proc e dur e is not 

suitable in all situations; manag e m e nt is expected 

to use its discretion to determine where such a 

procedure would benefit the employee and the 

agency. 

(d) Notice. An employee who is dismissed must receive 

written notice of the specific reasons for the dismissal, as well 

as notice of any applicable appeal rights. 



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PROPOSED RULES 



(e) Dismissals for unsatisfactory job performance require 
written notification to the employee. Such notification must 
include specific reasons for the dismissal and notice of the 
employee's right of appeal. 

(f) Failure to give specific written reasons for the dismissal, 
failure to give written notice of applicable appeal rights, or 
failure to conduct a predismissal conference constitute proce- 
dural violations with remedies as provided for in 25 NC AC 1 B 
.0432. Time limits for filing a grievance do not start until the 
employee receives written notice of any applicable appeal rights. 

Statutory Authority G.S. 126-4: 126-35. 

.0606 DISMISSAL FOR GROSSLY INEFFICIENT 
JOB PERFORMANCE 

Before an employee may bo dismissed, the following shall 
occur: 

f44 The Sup e rvisor recomm e nding dismissal shall di s cu s s 
the recomm e ndation with appropriat e ag e ncy manag e 
mont and receive management' s authorization to hold 
a pro dismi s sal conference with the employee. — The 
purpos e of th e pro dismissal conf e r e nc e is to r e vi e w 
th e recomm e ndation with th e affected e mploy ee and 
by listening to and considering information put forth 
by the employee, to insure that s uch a significant 
p e rsonn e l aotion is not bas e d on mistak e n or e rron e 
ouo information and conclusions. 

f3) The Supervisor or designated management represcn 
tativo shall schedule and conduct a pre dismissal 
conference with the e mployee. Advanc e notio e of the 
pro dismissal conf e r e nc e must b e giv e n to th e e m 
ploy co. — A second management representative or 
security personne l may bo present at management's 
discretion. No attorn e y s representing eith e r side may 
att e nd th e conf e r e nc e . — In th e conf e r e nc e , th e Super 
visor s hall give the employee oral or written notice of 
the recommendat i on for dismissal, inc l uding specific 
reasons for the proposed dismissal and a summary of 
th e information supporting that r e comm e ndation 
The employee shall have an opportunity to respond to 
the propo s ed di s missal, to refute information support 
ing th e r e comm e nd e d dismissal aotion and to off e r 
information or argum e nts to support his position. 
Every effort shall bo made by the Supervi s or or the 
designated management repre s entative to as s ure that 
the employ ee has had a full opportunity to set forth 
any information in his possession in oppo s ition to hi s 
dismissal prior to the end of the conference. 

(34 Following the conference, management 3 hall review 

and consid e r th e r e spons e of th e e mploy ee and r e ach 
a d e cision on th e propos e d r e comm e ndation. — U 
management's decision is to dismiss the employee, a 
written letter of dismissal s hall be prepared containing 
th e sp e cific r e asons for dismissa l , th e eff e ctiv e dat e 
of th e dismissal and th e e mployee' s app e al rights. 
To minimize tho risk of dismi s sal upon erroneous 
information, and to allow time following the confer 



once for management to rev i ew all necessary infer 
motion, th e d e cision to dismiss should normally -net 
b e communicated to th e e mploye e prior to th e b e gin 
ning of tho next business day following the oonclu 
sion of the pre dismissal conference. — The employee 
shall b e informed of th e d e cision and furnished, 
e ith e r in p e rson or by mail, a oopy of th e l e tt e r of 
dismissal, receipt of which shall constitute dismissal. 
A management decision not to dismiss the employee 
may be communicat e d to th e e mploy ee at any time 
following th e conclusion of th e conf e r e nc e . 
(4) Tho effective date of a dismissal for unsatisfactory 
job performance s hall be determined by management. 
A-pef man e nt e mploy ee who is dismiss e d for unsatis 
factory job — p e rforma nce — may — at — manag e ment's 
discretion bo given up to two weeks' working notioe 
of his dismissal. — Instead of providing up to two 
w ee ks working notic e and at th e discr e tion of 
management, an e mploy ee may b e giv e n up to two 
weeks' pay in lieu of the working notice. — Such 
working notice or pay in lieu of notice is applicable 
only to dismissal s for unsatisfactory job p e rformano er 
Th e e ff e ctiv e dat e of th e dismissal shall not be e arli e r 
than the letter of dismissal nor more than 1 4 calendar 
days after the notice of dismissal. 

(a) Dismissal on the basis of grossly inefficient job perfor- 
mance is administered in the same manner as for unacceptable 
personal conduct. Employees may be dismissed on the basis of 
a current incident of grossly inefficient job performance without 
any prior disciplinary action. 

(b) Prior to dismissal of a career employee on the basis of 
grossly inefficient job performance, there shall be a pre- 
dismissal conference between the employee and the person 
recommending dismissal. This conference shall be held in 
accordance with the provisions of 25 NCAC U. 0613. 

(c) Dismissals for grossly inefficient job performance require 
written notification to the employee. Such notification must 
include specific reasons for the dismissal and notice of the 
employee's right of appeal. 

(d) Failure to give specific written reasons for the dismissal, 
failure to give written notice of applicable appeal rights, or 
failure to conduct a predismissal conference constitute proce- 
dural violations with remedies as provided for in 25 NCAC IB 
.0432. Time limits for filing a grievance do not start until the 
employee receives written notice of any applicable appeal nghts. 

Statutory Authority G.S. 126-4{7a). 

.0608 DISMISSAL: FOR PERSONAL CONDUCT 

(a) Employees may be dismissed for a current incident of 
unacceptable personal conduct, dismiss e d, d e mot e d, s u s p e nd e d 
or warned on the basis of unacceptable personul conduct . 
Discipline may bo imposed, as a result of unacceptable conduct, 
up to and including dismissal without any prior disciplinary 
action warning to th e e mploy ee. Oral or writt e n warning s 
given for unacceptable personal conduct according to this Rule 
cannot be used to s horten the progre ss ive warning process 



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599 



PROPOSED RULES 



required to dismiss an employee on the baaio of unsatisfactory 
job p e rformano er 

(b) Diooiplinary domotiono, ouoponoiono or dismissals for 
personal conduct require written notification to the omployco. 
Such notification must include specific reasons for the discipline 
and notioe of the e mploy ee 's right of app e al. Prior to dismissal 
of a career employee on the basis of unacceptable personal 
conduct, there shall be a pre-dismissal conference between the 
employee and the person recommending dismissal. This 
conference shall be held in accordance with the provisions of 25 
NCAC U .0613. 

(c) Prior to dismissal of a career omployco on the basis of 
personal conduct, there shall bo a pro dismissal conference 
between tho employee and the p e rson recomm e nding dismissal. 
This conference ohall bo h e ld in aooordonoo with th e provisions 
of 25 NCAC U. 0606(2), (3). Dismissals for unacceptable 
personal conduct require written notification to the employee. 
Such notification must include specific reasons for the dismissal 
and notice of the employee's right of appeal. 

(d) Not e : Failure to give specific written reasons for the 
dismissal, failure to give written notice of applicable appeal 
rights , or failure to conduct a predismissal conference constitute 
procedural violations with remedies as provided for in 25 
NCAC IB .0432 shall oauao tho dismissal to bo legally inoffoc 
tivo, and may require backpay and attorney's fees to bo paid to 
tho employ ee. Time limits for filing a grievance do not start 
until the employee receives written notice of his/h e r any 
applicable appeal rights. 

Statutory Authority G.S. 126-1 A; 126-4; 126-35. 

.0610 WRITTEN WARNING 

Investigatory disciplinary suspension ma) 1 bo used by manage - 
ment in appropriat e eiroumstanoos. — How e v e r, tho following 
provisions ohall oontrol its us e : 

ft) An omployco who has boon suspended for either 
investigatory or disciplinary reasons must bo placed 
on compulsory l e av e of absenc e without pay. 

(3) Inv e stigatory susp e nsion without pay may b e us e d to 
provide time to investigate, establish facts, and reach 
a decision concerning an employee 's status in thos e 
oas e s wh e re it is determin e d th e e mploy ee should not 
continue to work p e nding a d e cision. Investigatory 
suspension without pay may bo appropriately used to 
provide time to schedule and hold a pro dismissal 
conf e renc e . — Also, manag e m e nt may e l e ct to us e 
investigatory susp e nsion in ord e r to avoid undu e 
di s ruption of work or to protect the safety of persons 
or property. An investigatory suspension without pay 
shall not oxoood 45 cal e ndar days. — How e v e r, a 
d e partm e nt or univ e rsity may. in th e e x e rois e of its 
discretion, extend the period of investigatory suspen 
sion without pay beyond the 4 5 day limit. — The 
e mploy ee must b e inform e d in writing of th e e xt e n 
sion, th e l e ngth of the extension, th e s p e oifio r e a s on s 
for the extension and his right of appeal . — If no action 
has been taken by management by the end of 4 5 



calendar days, and no extension has boon made, one 
of th e following must occur. — R e instat e ment of tho 
e mploy ee with full baokpay, appropriat e disciplinary 
action based on tho results of tho investigation: 
reinstatement of tho employee with up to throe days 
pa)' deducted from th e baokpay. 
(3-) Investigatory suspension of an e mploy ee shall not b e 
used for tho purpose of delaying an administrative 
decision on an employee's work status ponding tho 
r e solution of a civil or criminal court matter involv 
ing th e e mploy ee . 
(4-) An omployco who has boon suspended for invostiga 
tory reasons may bo reinstated with up to throe days 
pay d e duct e d from his salary. Such d e t e rmination is 
to b e bas e d upon management's det e rmination of th e 
degree to which the employee was responsible for or 
contributed to the reasons for tho suspension. — T4hs 
period constitut e s a disciplinary suspension without 
pay and must b e e ff e ct e d in acoordono e with Para 
graphs (5) and (6) of this Rule. 
(£) An omployco may bo suspended without pay for 
disciplinary purposes for causes relating to any form 
of p e rsonal conduct or in conjunction with a final 
written wanning for performance of duties. — How 
ovor, a disciplinary suspension without pay must be 
for at l e ast on e full working day, but not more than 
thre e working days. — Prior to plaoing any e mploy ee 
on disciplinary suspension without pay, a manage 
ment representative shall conduct a pro suspension 
eonf e r e no e with th e e mploy ee . This conf e renc e shall 
be carri e d out in th e sam e fashion as a pr e dismissal 
conference. 
(6) An employee who has boon suspended without pay 
must b e furnish e d a statem e nt in writing s e tting forth 
th e sp e oifio acts or omissions that are th e reasons for 
tho suspension and tho employee's appeal rights. A 
pro suspension conference i3 required only when th e 
e mploy ee is suspended without pa) 1 for disciplinary 
reasons: a pr e susp e nsion conf e renc e is not required 
where an employee is suspended without pay for the 
purpose of investigation. 
(a) The supervisor is responsible for assuring the satisfactory 
performance of work assignments and that employees do not 
engage in unacceptable personal conduct. Ail types of 
performance-related job inadequacies can constitute unsatisfac- 
tory job performance under this Section. Unacceptable personal 
conduct can be work-related and non-work-related conduct and 
may be intentional or unintentional. When the supervisor 
determines that disciplinary action is appropriate for unsatisfac- 
tory job performance, a written warning is the first type of 
disciplinary action that an employee must receive. The 
supervisor may elect to issue a written warning for grossly 
inefficient job performance or unacceptable personal conduct. 
The following procedure must be followed to issue a written 



(b) In a private discussion with the employee, the supervisor 
shall do the following: 



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PROPOSED RULES 






Inform the employee that this is a written warning, 

and not some other non-disciplinary process such as 

counseling; 

Inform the employee of the specific issues that are 

the basis for the warning; 

Tell the employee what specific improvements if 

applicable must be made to address these specific 



[5] 

m 



Tell the employee the time frame allowed for 
making the required improvements/corrections. 
Absent a specified time frame, 60 days is the time 
frame allowed for unsatisfactory job performance 
and immediate correction is required for grossly 
inefficient job performance or unacceptable per- 
sonal conduct; 

Tell the employee the consequences of failing to 
make the required improvements/corrections; 
Issue the employee a written warning in accordance 
with the procedural requirements of this Section, 
including any applicable appeal rights. 



Statutory Authority G.S. 126-4. 

.061 1 DISCIPLINARY SUSPENSION WITHOUT PAY 

{tt) Any employee may bo demoted ao a disciplinary measure. 
D e motion may b e made on th e basis of e i ther unsatisfactory job 
porformono e or unacceptabl e p e rsonal oonduot. 

fl} Job Performance. — An employee may be demoted 
for unsatisfactory job performance after the em 
ployoo has rec e iv e d at l e ast two prior warnings on 
his p e rformanc e . — At l e ast one of the warnings 
prior to demotion must be in writing. 
f2-( Personal Conduct. — An emp l oyee may be demoted 
for unacc e ptabl e oonduot without any prior warn 
ingh — Cause for d e motion on th e basis of p e rsonal 
conduct does not have to bo as serious as cause for 
dismissal. 
0) Notio e . An e mploy e e who is d e mot e d must r e c e iv e 
writt e n notio e of th e sp e cific r e asons for th e d e mo 
tion, as well as notice of his appeal rights. 
(b) Disciplinary demotions may bo accomplished in several 
ways. Th e e mploy ee may bo d e moted to a lower classification 
with or without a loos in pay. — Or, th e employee may be 
reduced to a lower stop in the sam e pay grade with a corre 
sponding loss of pay. — In no ovont shall an employee' s pay be 
low e r e d b e low st e p on e of his current pay grade, unless th e 
e mploy ee is d e mot e d to a lower classification. — Prior to th e 
decision to domoto an employee for disciplinary reasons, a 
management representative must conduct a pre demotion 
conf e r e nc e with th e e mploy ee . This pr e d e motion conf e r e nc e 
shall b e accomplish e d in th e sam e fashion as th e pr e dismissal 
conference. 

An employee may be suspended without pay for disciplinary 
purposes for unsatisfactory job performance after the receipt of 
at least one prior disciplinary action or for causes relating to any 
form of unacceptable personal conduct or grossly inefficient job 
performance. A disciplinary suspension without pay for an 



employee who is subject to the overtime compensation provi- 
sions of the Fair Labor Standards Act (FLSA) must be for at 
least one full work day, but not more than two work weeks. 
The length of a disciplinary suspension without pay for an 
employee who is exempt from the overtime compensation 
provisions of the FLSA must be for at least one full work week, 
but not more than two full work weeks. Prior to placing any 
employee on disciplinary suspension without pay, a manage- 
ment representative shall conduct a pre-suspension conference 
with the employee in accordance with the procedural require- 
ments of this Section. An employee who has been suspended 
without pay must be furnished a statement in writing setting 
forth the specific acts or omissions that are the reasons for the 
suspension and the employee's appeal rights. 

An agency or university has the option of imposing the same 
periods of disciplinary suspension without pay upon all employ- 
ees as long as the period is the same as for employees exempt 
from the overtime provisions of the FLSA. 

Statutory Authority G.S. 126-4(6); 126-35. 

.0612 DEMOTION 

(a) By statut e , som e duti e s assign e d to positions in th e s tat e 
service may bo performed only by per s ons who are du l y 
licensed, registered or certified as required by the relevant law. 
All such r e quir e m e nts and r e strictions ar e sp e cifi e d in the 
statement of e ss e ntial qualifications or r e cruitment s tandards for 
classifications established by the State Personnel Commi s sion. 
Any employee may be demoted as a disciplinary measure. 
Demotion may be made on the basis of either unsatisfactory or 
grossly inefficient iob performance or unacceptable personal 
conduct. 

(1) Unsatisfactory Job Performance. An employee 
may be demoted for unsatisfactory job performance 
after the employee has received at least one prior 
disciplinary action. 

(2) Grossly Inefficient Job Performance. An employee 
may be demoted for grossly inefficient iob perfor- 
mance without any prior disciplinary action. 

(3) Personal Conduct. An employee may be demoted 
for unacceptable personal conduct without any prior 
disciplinary action. 

(4) Notice. An employee who is demoted must receive 
written notice of the specific reasons for the demo- 
tion, as well as notice of any applicable appeal 
rights. 

(b) Employ ee s i n such classifications ar e responsibl e for 
maintaining current, valid credential s a s required by law. 
Fai l ure to maintain the required credentials is a basis for 
imm e diate dismissal without prior warning. — An e mploy ee who 
is dismiss e d shall b e giv e n a writt e n s tat e m e nt of th e r e a s on for 
the action and his appeal rights. Disciplinary demotions may be 
accomplished in three ways: 

(1) The employee may be demoted to a lower pay 
grade with a reduction in salary rate as long as the 
new salary rate does not exceed the maximum of 
the salary schedule for the new lower pay grade; 



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601 



PROPOSED RULES 



(2) The employee may be demoted to a lower pay 
grade without a reduction in salary rate as long as 
the salary rate does not exceed the maximum of the 
salary schedule for the new lower pay grade; or 

(3) The employee may be demoted while retaining the 
same pay grade with a reduction in salary rate. In 
no event shall an employee's salary rate be reduced 
to less than the minimum salary rate for the appli- 
cable pay grade or the special entry rate, if in 
effect. 

(cj Prior to the decision to demote an employee for disciplin- 
ary reasons, a management representative must conduct a pre- 
demotion conference with the employee in accordance with the 
procedural requirements of this Section. 

Statutory Authority G. S. 126-4(3). 

.0613 PROCEDURAL REQUIREMENTS 

The following procedural requirements must be followed to 
issue disciplinary action under this Section: 
Qj WRITTEN WARNING - to issue a written warning 
to an employee, a supervisor must comply with the 
following procedural requirements: 

(a) Conduct a disciplinary conference with the em- 
ployee during which the employee is told: 

(i] That this is a written warning; 

(ii) The specific issues that are the basis for the 
warning; 

(iii) What specific improvements must be made; 

(iv) The time frame allowed for making the required 
improvements/corrections. Absent a specified 
time frame in the warning, 60 days is the time 
frame allowed for unsatisfactory job performance 
and immediate correction is required for grossly 
inefficient job performance or unacceptable 
personal conduct; and 

(v) The consequences of failing to make the required 
improvements/corrections. 

(b) Issue the employee a written warning, detailing the 
matters referenced in Sub-item (a)(i) - (v) of this 
Rule and including any applicable appeal rights. 

£2) DISCIPLINARY SUSPENSION WITHOUT PAY - 
to place an employee on disciplinary suspension 
without pay, a supervisor must comply with the 
following procedural requirements: 

(a) In matters of unsatisfactory job performance, insure 
that the employee has received at least one prior 
disciplinary action. In matters of grossly inefficient 
job performance or unacceptable personal conduct 
there are no pre-conditions so an employee may be 
suspended without pay for a current incident of 
grossly inefficient performance or unacceptable 
misconduct; 

(b) Schedule and conduct a pre-suspension conference. 
Advance oral or written notice of the appropriate 
pre-disciplinary conference must be given to the 
em ployee of the time, location, and the issue for 



which discipline has been recommended. The 
amount of advance notice should be as much as is 
practical under the circumstances; 

(c) Furnish the employee a statement in writing setting 
forth the specific acts or omissions that are the 
reasons for the suspension; 

(d) Advise the employee of any applicable appeal rights 
in the document effecting the suspension. 

(3) DEMOTION - to demote an employee, a supervisor 
must comply with the following procedural require- 
ments: 

(a) In matters of unsatisfactory job performance, insure 
that the employee has received at least one prior 
disciplinary action. 

(b) In matters of grossly inefficient job performance or 
unacceptable personal conduct, there is no require- 
ment for previous disciplinary action, so an em- 
ployee may be demoted for a current incident of 
grossly inefficient job performance or unacceptable 
personal conduct without any prior disciplinary 
action; 

(c) Advance oral or written notice of the appropriate 
pre-disciplinary conference must be given to the 
employee of the time, location, and the issue for 
which discipline has been recommended. The 
amount of advance notice should be as much as is 
practical under the circumstances. 

(d) An employee who is demoted must receive written 
notice of the specific acts or omissions that are the 
reasons for the demotion; 

(e) An employee must be advised of how and to what 
extent the demotion will affect the employee's 
salary rate or pay grade; and 

JfJ The employee must also be advised of any applica- 
ble appeal rights in the document effecting the 
demotion. 

(4) DISMISSAL - to dismiss an employee, a supervisor 
must comply with the following procedural require- 
ments: 

Before an employee may be dismissed, the following shall 

occur: 

(a) The Supervisor recommending dismissal shall 
discuss the recommendation with appropriate 
agency management and receive management's 
authorization to hold a pre-dismissal conference 
with the employee. The person conducting the pre- 
dismissal conference must have the authority to 
recommend or to decide what, if any disciplinary 
action should be imposed on the employee. 
The Supervisor or designated management repre- 
sentative shall schedule a pre-dismissal conference 
with the employee- 
Advance written notice of the pre-dismissal confer- 
ence must be given to the employee of the time, 
location, and the issue for which dismissal has been 
recommended. The amount of advance notice 
should be as much as is practical under the circum- 



ihi 



(cj 



602 



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July 3, 1995 



10:7 



PROPOSED RULES 



stances. 

(d) The Supervisor or designated management repre- 
sentative shall conduct a pre-dismissal conference 
with the employee, limiting attendance to the 
employee and the person conducting the confer- 
ence. The purpose of the pre-dismissal conference 
is to review the recommendation for dismissal with 
the affected employee and to listen to and to con- 
sider any information put forth by the employee, in 
order to insure that a dismissal decision is sound 
and not based on misinformation or mistake. 
Security personnel may be present when, in the 
discretion of the person conducting the conference, 
a need for security exists. No attorneys represent- 
ing either side may attend the conference. 

(e) In the conference, the Supervisor shall give the 
employee oral or written notice of the recommenda- 
tion for dismissal, including specific reasons for the 
proposed dismissal and a summary of the informa- 
tion supporting that recommendation. The em- 
ployee shall have an opportunity to respond to the 
proposed dismissal, to refute information supporting 
the recommended dismissal action and to offer 
information or arguments in support of the em- 
ployee's position. Every effort shall be made by 
the Supervisor or the designated management 
representative to assure that the employee has had 
a full opportunity to set forth any available informa- 
tion in opposition to the recommendation to dismiss 
prior to the end of the conference. This opportu- 
nity does not include the right to present witnesses. 

(fj Following the conference, management shall review 

and consider the response of the employee and 
reach a decision on the proposed recommendation. 
If management's decision is to dismiss the em- 
ployee, a written letter of dismissal containing the 
specific reasons for dismissal, the effective date of 
the dismissal and the employee's appeal rights shall 
be issued to the employee in person or by certified 
mail, return receipt requested, to the last known 
address of the employee. To minimize the risk of 
dismissal upon erroneous information, and to allow 
time following the conference for management to 
review all necessary information, the decision to 
dismiss should not be communicated to the em- 
ployee prior to the beginning of the next business 
day following the conclusion of the pre-dismissal 
conference or after the end of the second business 
day following the completion of the pre-dismissal 
conference. 

(g) The effective date of a dismissal for unsatisfactory 

job performance shall be determined by manage- 
ment. A career employee who is dismissed for 
unsatisfactory job performance may, at manage- 
ment's discretion, be given up to two weeks' 
working notice of his dismissal. Instead of provid- 
ing up to two weeks' working notice and at the 






m 

01 



discretion of management, an employee may be 
given up to two weeks' pay in lieu of the working 
notice. Such working notice or pay in lieu of 
notice is applicable only to dismissals for unsatis- 
factory job performance. The effective date of the 
dismissal shall not be earlier than the letter of 
dismissal nor more than 14 calendar days after the 
notice of dismissal. 

Statutory Authority G.S. 126-4; 126-35. 

.0614 DEFINITIONS 

(a) Current Unresolved Incident - Conduct or performance 
that: 

constitutes a violation of this Section; and 
for which no disciplinary action has been previ- 
ously imposed or issued by agency/university 
management. 

(b) Disciplinary Demotion - A personnel action taken, 
without employee agreement, to discipline the employee, which 
results in: 

reduction in salary within the employee's current 

classification; or 

an assignment to a position in a lower salary grade 

without a corresponding loss of salary; or 

an assignment to a position in a lower salary grade 

with a corresponding loss of salary. 

(c) Disciplinary Suspension Without Pay - The removal of an 
employee from work for disciplinary purposes without paying 
the employee. 

(e) Dismissal - The involuntary termination or ending of the 
employment of an employee for disciplinary purposes or failure 
to obtain or maintain necessary credentials. 

(f) Gross Inefficiency (Grossly Inefficient Job Performance) - 
A type of unsatisfactory job performance that occurs in in- 
stances in which the employee: fails to satisfactorily perform 
job requirements as specified in the job description, work plan, 
or as directed by the management of the work unit or agency; 
and, that failure results in: 

(1) the creation of the potential for death or serious 
bodily injury to an employee(s) or to members of 
the public or to a person(s) over whom the em- 
ployee has responsibility; or 

(2) the loss of or damage to state property or funds thai 
result in a serious impact on the State and/or work 
unit. 

(g) Inactive Disciplinary Action - Any disciplinary action 
issued after the effective date of this Section, is deemed inactive 
for the purpose of this Section in the event that: 

(1) the manager or supervisor notes in the employee's 
personnel file that the reason for the disciplinary 
action has been resolved or corrected; or 

(2) the purpose for a performance-based disciplinary 
action has been achieved, as evidenced by a sum- 
mary performance rating of level 3 (Good) or 
better and at least a level 3 or better in the perfor- 
mance area cited in the warning or disciplinary 



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603 



PROPOSED RULES 



action, following the disciplinary warning or action; 
or 
(3) 18 months have passed since the warning or disci- 

plinary action, the employee does not have another 
active warning or disciplinary action which oc- 
curred within the last 18 months and the 
agency/university has not, prior to the expiration of 
the 18 month period, issued to the employee notice 
of the extension of the period. 
(h) Insubordination - The willful failure or refusal to carry 
out a reasonable order from an authorized supervisor. Insubor- 
dination is considered unacceptable personal conduct for which 
any level of discipline, including dismissal, may be imposed 
without prior warning. 
(i) Unacceptable Personal Conduct is: 

(1) conduct for which no reasonable person should 
expect to receive prior warning; or 

(2) job-related conduct which constitutes a violation of 
state or federal; or 

(3) conviction of a felony or an offense involving 
moral turpitude that is detrimental to or impacts the 
employee's service to the State; or 

(4) the willful violation of known or written work 
rules; or 

(5) conduct unbecoming a state employee that is detri- 
mental to state service; or 

(6) the abuse of client(s), patient(s), student(s) or a 
person) s) over whom the employee has charge or 
to whom the employee has a responsibility or an 
animal owned by the State; or 

(7) absence from work after all authorized leave credits 
and benefits have been exhausted; or 

(8) falsification of a state application or in other em- 
ployment documentation. 

(i) Unsatisfactory Job Performance - Work-related perfor- 
mance that fails to satisfactorily meet job requirements as 
specified in the relevant job description, work plan, or as 
directed by the management of the work unit or agency. 

Statutory Authority G.S. 126-4; 126-35. 

.0615 SPECIAL PROVISIONS 

(a) GRANDFATHER PROVISIONS - The following 
Grandfather provisions establish the force and effect of disci- 
plinary actions in existence upon the effective date of this 
Section. 

(1) Oral warnings - any oral warning existing upon the 
effective date of this Section is deemed void and 
has no further force or effect upon the disciplinary 
status of any state employee. 

(2) All other disciplinary actions existing at the time 
this Section is adopted shall remain in full force and 
effect as if the warnings or other disciplinary 
actions had been imposed under this Section. No 
written warning or other disciplinary action im- 
posed prior to the effective date of this Section shall 
be deemed inactive by operation of the provisions 



of this Section until more than 18 months after the 
effective date of this Section, or until the disciplin- 
ary action is deemed inactive in accordance with 25 
NCAC 1J .0614(g), whichever occurs first. 

(3) Extension of Disciplinary Actions - any written 
warning or disciplinary action imposed prior to the 
adoption of this Section may be extended in accor- 
dance with the provisions of this Section as if the 
warning or disciplinary action had been imposed 
after the effective date of the Section. No unre- 
solved written warning or disciplinary action issued 
under the prior Section shall become inactive if, 
within 18 months of the effective date of this 
Section, another disciplinary action or warning is 
imposed on the employee. Notice of the extension 
of the active status of a disciplinary action can be 
given at any time within 18 months of the effective 
date of the disciplinary action. 

(4) Resolution of disciplinary actions under prior 
agency/university procedure - any warnings or 
disciplinary actions existing at the time that this 
Section is adopted shall be deemed inactive if it 
would have been resolved under the an 
agency/university procedure existing at the time of 
the adoption of this Section. 

(b) PLACEMENT ON INVESTIGATION - Investigation 
status is used to temporarily remove an employee from work 
status. Placement on investigation with pay does not constitute 
a disciplinary action as defined in this Section or in G.S. 126- 
35. Management must notify an employee in writing of the 
reasons for investigatory placement not later than the second 
scheduled work day after the beginning of the placement. An 
investigatory placement with pay may last no longer than 30 
calendar days without written approval of extension by the 
agency/university head and the State Personnel Director. When 
an extension beyond the thirty-day period is required, the 
agency/university must advise the employee in writing of the 
extension, the length the extension, and the specific reasons for 
the extension. If no action has been taken by an 
agency/university by the end of the 30-day period and no 
further extension has been granted, the agency/university must 
either take appropriate disciplinary action on the basis of the 
findings upon investigation or return the employee to active 
work status. Under no circumstance is it permissible to use 
placement on investigation status for the purpose of delaying an 
administrative decision on an employee's work status pending 
the resolution of a civil or criminal court matter involving the 
employee. 

It is permissible to place an employee in investigation status 
with pay only under the following circumstances: 

( 1) To investigate allegations of performance or con- 
duct deficiencies that would constitute just cause for 
disciplinary action; 

(2) To provide time within which to schedule and 
conduct a pre-disciplinary conference; or 

(3) To avoid disruption of the work place and/or to 
protect the safety of persons or property. 



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July 3, 1995 



10:7 



PROPOSED RULES 



(c) CREDENTIALS - By statute, regulation, and administra- 
tive rule, some duties assigned to positions in the state service 
may be performed only by persons who are duly licensed, 
registered or certified as required by the relevant law, rule, or 
provision. All such requirements and restrictions are specified 
in the statement of essential qualifications or recruitment 
standards for classifications established by the State Personnel 
Commission. 

(1) Employees in such classifications are responsible 
for obtaining and maintaining current, valid creden- 
tials as required by law, rule or regulation Failure 
to obtain or maintain the legally required credentials 
constitutes a basis for immediate dismissal without 
prior warning, consistent with dismissal for unac- 
ceptable personal conduct or grossly inefficient |ob 
performance. An employee who is dismissed for 
failure to obtain or maintain credentials shall be 
dismissed under the procedural requirements 
applicable to dismissals for unacceptable personal 
conduct or grossly inefficient job performance. 

(2) Falsification of employment credentials or other 
documentation in connection with securing employ- 
ment constitutes just cause for disciplinary action. 
When credential or work history falsification is 
discovered after employment with a state 
agency/university, disciplinary action shall be 
administered as follows: 

(A) If an employee was determined to be qualified 
and was selected for a position based upon falsi- 
fied work experience, education, registration, 
licensure or certification information that was a 
requirement for the position, the employee must 
be dismissed in accordance with 25 NCAC IJ 
.0608. 



LBJ 



[Q 



[n_al 1 other c ases ot post-hiring d iscovery of false 
or misleading information, disciplinary action will 
be taken, but the severity of the disciplinary' 
action shall be at the discretion of the agency 
head. 

When credential or work history falsification is 
discovered before employment with a state 
agency/university, the applicant shall be disquali- 
fied from consideration for the position in ques- 
tion, 
(d) OTHER SPECIAL PROVISIONS - 

(1) Every disciplinary action shall include notification 
to the employee in writing of any applicable appeal 
rights. 

(2) Warnings, extensions of disciplinary actions and 
periods of placement on investigation, and place- 
ment on investigation with pay are not grieveable 
unless an agency/university specifically provides for 
such a grievance in its agency/university grievance 
procedure. Absent an allegation of a violation of 
G.S. 126-16, 126-25, or 126-36, warnings are not 
appealable to the State Personnel Commission. 

(3) An agency/university shall furnish to an employee 



as an attachment to the written documentation of 
any grieveable disciplinary action, a copy of the 
agency/university grievance procedure. 

(4) Each agency and university shall adopt and submit 
for State Personnel Commission approval an inter- 
nal grievance procedure that shall: 

(A) Setforth the manner and mechanism with which 
employees are notified of changes in 
agency/university policy and State Personnel 
Commission regulations: 

(B) Set out the policy on the use of disciplinary 
suspension and the procedure for the issuance of 
warnings: 

(C) Set out the policy on the retention of warnings 
and other disciplinary actions in employee person- 
nel files: and 

(D) Set out the policy on how an employee may 
access the employee's personnel file. 

(5) Each agency and university shall maintain records 
and provide the OSP information and statistics on 
the discipline and dismissal process commencing in 
January 1996 and every year thereafter in a form 
prescribed by the OSP. 

(6) Each agency and university shall insure that desig- 
nated personnel are trained in the administration of 
this Section. 

Statutory Authority G.S. 126-4; 126-35. 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



605 



RRC OBJECTIONS 



1 he Rides Review Commission (RRC) objected to the following rules in accordance with G.S. 150B-21.9(a). State agencies are 
required to respond to RRC as provided in G.S. 150B-21. 12(ai. 



DEPARTMENT OF AGRICULTURE 

Markets 

2 NCAC 43 L .0202 - Gate Fees 

Agency Revised Rule 
2 NCAC 43L .0304 - Horse Facility 

Agency Revised Rule 

DEPARTMENT OF COMMERCE 

Banking Commission 

4 NCAC 3C .0201 - Establishment of Branches and Limited Service Facilities 

Agency Revised Rule 
4 NCAC 3C 0202 - Discontinuance 

Agency Revised Rule 
4 NCAC 3C .0204 - Conversion of Branch to Limited Service Facility 

Agency Revised Rule 
4 NCAC 3C .0301 - Change of Location of Main Office, Branch or Ltd Svc Facility 

Agency Revised Rule 
4 NCAC 3C .0901 - Books and Records 

Agency Revised Rule 
4 NCAC 3C . 1001 - Loan Documentation 

Agency Revised Rule 
4 NCAC 3C . 1 101 - Definitions: Issuance of Capital Notes and Debentures 

Agency Revised Rule 
4 NCAC 3C . 1302 - Share Purchase and Option Plans 

Agency Revised Rule 
4 NCAC 3C 1601 - Fees. Copies and Publication Costs 

Agency Revised Rule 

DEPARTMENT OF COMMUNITY COLLEGES 

Community Colleges 

23 NCAC 2C 0604 - Program Review 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management 

15A NCAC 7H .0306 - General Use Standards for Ocean Hazard Areas 

Agency Filed Ride for Codification Over RRC Objection 
15 A NCAC 7H .0308 - Specific Use Standards for Ocean Hazard Areas 

Agency Revised Rule 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15A NCAC 7M .0202 - Policy Statements 

Rule Returned to Agency 

Agency Filed Ride for Codification Over RRC Objection 

Health: Epidemiology 



RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/1S/95 


Ob]. Removed 


05^18/95 



RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 



RRC Objection 



06/14/95 



Obj. Cont'd 

RRC Objection 
Obj. Cont'd 



Eff. 



RRC Objection 
Obj. Cont'd 



Eff. 



Eff 



05/18/95 
06/27/95 
03/16/95 
04/20/95 
04/20/95 
05/04/95 
03/16/95 
04/20/95 
05/04/95 



606 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



RRC OBJECTIONS 



15A NCAC 19 A .0202 - Control Measures - HIV 
HUMAN RESOURCES 
Facility Services 

10 NCAC 30 .0305 - Persons Subject to Licensure 

Agencx Revised Rule 
10 NCAC 30 0506 - Simplified Reporting for Certain Organizations 

Agency Revised Rule 
10 NCAC 30 .0607 - License Year 

Agency Revised Rule 

Medical Assistance 

10 NCAC 26H .0104 - Cost Reporting: Auditing and Settlements 

Rule Withdrawn by Agency 

Agency Resubmitted Rule 

Agency Revised Rule 
10 NCAC 26M 0301 - Program Definition 

Agency Revised Rule 

Agency Revised Rule 
10 NCAC 26M .0302 - Access to Care 

Agency Revised Rule 

Agency Revised Rule 
10 NCAC 26M .0303 - Patient Informing 

Agency Revised Rule 
10 NCAC 26M .0304 - Relationship with Carolina Access 

Agency Revised Rule- 
Rule Withdrawn by Agency 
10 NCAC 26M .0305 - Relationship with EPSDT program 

Agency Revised Rule 

Rule Withdrawn by Agency 
10 NCAC 26M 0306 - Relationship with Sub-Contractors {Renumbered to .0304) 

Agency Revised Rule 

Agency Revised Rule 
10 NCAC 26M 0307 - Utilization Review Requirements 

Agency Revised Rule 

Rule Withdrawn by Agency 
10 NCAC 26M .0308 - Enrollee and Sub-Contractor Appeals and Grievances 

Agency Revised Rule (Renumbered to . 0305) 

LABOR 
OSHA 



RRC Objection 



06/14/95 



RRC Objection 


05/18/95 


Obj Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 





04/20/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


04/20/95 


RRC Objection 


04/20/95 


Obj. Removed 


05/18/95 


RRC Objection 


04/20/95 


RRC Objection 


04/20/95 


Obj. Removed 


05/18/95 


RRC Objection 


04/20/95 


Obj. Removed 


05/18/95 


RRC Objection 


04/20/95 


RRC Objection 


04/20/95 




05/18/95 


RRC Objection 


04/20/95 


RRC Objection 


04/20/95 




05/18/95 


RRC Objection 


04/20/95 


RRC Objection 


04/20/95 


Obj. Removed 


05/18/95 


RRC Objection 


04/20/95 


RRC Objection 


04/20/95 




05/18/95 


RRC Objection 


04/20/95 


Obj. Removed 


05/18/95 



13 NCAC 7 A .0602 - Definitions 

Agency Revised Rule 
13 NCAC 7 A .0603 - Safety and Health Programs 

Agency Revised Rule 

LICENSING BOARDS AND COMMISSIONS 

Board of Cosmetic Art Examiners 

21 NCAC 14F .0014 - Salon Renewal 
No Response from Agency 



RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 



RRC Objection 
Obj. Cont'd 



03/16/95 
04/20/95 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



607 



RRC OBJECTIONS 



Agency Revised Rule 
21 NCAC 141 .0401 - App. for Lie. by Individuals Who Have Been Convicted of a Felony 

No Response from Agency 

Agency Revised Rule 
21 NCAC 141 .0402 - Requests for Preapplication Review of Felony Convictions 

No Response from Agency 

Agency Revised Rule 



Obj. 


Removed 


05/18/95 


RRC 


' Objection 


03/16/95 


Obj. 


Cont 'd 


04/20/95 


Ob). 


Removed 


05/18/95 


RRC 


' Objection 


03/16/95 


Obj. 


Cont 'd 


04/20/95 


Obj. 


Removed 


05/18/95 



Board of Practicing Psychologists 



21 NCAC 54 .2704 - HSP-P Requirements On and After June 30. 1994 
Agency Filed Rule for Codification Over RRC Objection 

21 NCAC 54 .2705 - HSP-P P Requirements 

Agency Filed Rule for Codification Over RRC Objection 

21 NCAC 54 .2706 - HSP-PA Requirements On and After June 30, 1994 
Agency Filed Rule for Codification Over RRC Objection 



RRC Objection 05/18/95 

Eff. 06/21/95 

RRC Objection 05/18/95 

Eff. 06/21/95 

RRC Objection 051 18195 

Eff. 06/21/95 



608 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index to 
all recent contested cases decisions which are filed under North Caroli/ia's Administrative Procedure Act. Copies of the decisions 
listed in the index and not publisfied are available upon request for a minimal cfiarge by contacting the Office of Administrative 
Hearings, (919) 733-2698. 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



ADMINISTRATION 

Division of Purchase and Contract 

Senter-Sanders Tractor Corp. V, Admin., Div of Purchase &. Contract 
CMC Maintenance Co., a Div. of RDS Corp. v. Dept. of Administration. 
Div. of Purchase &. Contract, et al. 



94 DOA 0803 

95 DOA 0194 



Nesnow 
Phipps 



03/06/95 
06/13/95 



State Construction Office 

W. M. Piatt & Company v. State Construction Office, DOA 

Holland Group, Inc. v. Dept. of Administration. St. Construction Office 

ALCOHOLIC BEVERAGE CONTROL COMMISSION 



94 DOA 073S 


Nesnow 


04/11/95 


10:3 NCR 


221 


94 DOA 1565 


Nesnow 


06/01/95 


10:7 NCR 


619 



Ali Alsaras v. Alcoholic Beverage Control Commission 
Norman D. Forbes v. Alcoholic Beverage Control Commission 
Albert Stanley Tomanec v. Alcoholic Beverage Control Commission 
Robert Johnson v. Alcoholic Beverage Control Commission 
Stinking Mercury, Inc. v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Depot Stop N Go, Inc. 
John H. Robinson v. Alcoholic Beverage Control Commission 
Clara and Carson Young v. Alcoholic Beverage Control Commission 
Bryan Lynn Whitaker, Susan Ansley Whitaker v. ABC Commission 
Diamond Club, Inc. v Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v. Weisner, Inc. 
Robert Louis Reese v. Alcoholic Beverage Control Commission 
Ray E. Bailey V. Alcoholic Beverage Control Commission 
Legwin Z. Williams v. Alcoholic Beverage Control Commission 



94 ABC 0526 


Chess 


94 ABC 0787 


Gray 


94 ABC 1168 


Beeton 


94 ABC 1661 


West 


94 ABC 1682 


Chess 


94 ABC 1694 


Mann 


94 ABC 1727 


Morrison 


94 ABC 1729 


Chess 


94 ABC 1784 


Mann 


94 ABC 1803 


Mann 


95 ABC 0068 


West 


95 ABC 0074 


Chess 


95 ABC 0210 


Gray 


95 ABC 0224 


Nesnow 



05/16/95 
03/17/95 
03/07/95 
05/01/95 
05/03/95 
03/29/95 
05/18/95 
05/11/95 
04/19/95 
04/07/95 
06/07/95 
05/25/95 
05/01/95 
05/31/95 



10:6 NCR 417 



CRIME CONTROL AND PUBLIC SAFETY 

Crime Victims Compensation Commission 

John Pavlikianidis v. Victims Compensation Commission 

Fay, Cynthia, S. Dalton v. Crime Victims Compensation Commission 

Phyllis H. Steinmeiz v. Crime Victims Compensation Commission 

Hubert Johnson, Edna J. Carter v. Crime Victims Compensation Comm. 

Wayne L. Ulley v. Crime Victims Compensation Commission 

Sandra H. Hughes v. Victims Compensation Commission 

Knstine S. Ray v. Crime Victims Compensation Commission 

Shirley Moody Myers v. Crime Victims Compensation Commission 

Thomasine Inman v. Crime Victims Compensation Commission 

Irmgard Gordos v. Crime Victims Compensation Commission 

Fay, Cynthia, S. Dalton v. Crime Victims Compensation Commission 

Ellen Sherwin v. Crime Vic Comp James Byrum Emp/ Baptist Hosp 

Lynn H. Henderson v. CPS, Victims Compensation Commission 

Larusha Bey v. Crime Victims Compensation Commission 

Pcreible Gaston v. Crime Victims Compensation Commission 

Sandra Jones v. Crime Victims Compensation Commission 

ENVIRONMENT. HEALTH. AND NATURAL RESOURCES 



94 CPS 0237 


Morrison 


94 CPS 0445** 


West 


94 CPS 0542 


West 


94 CPS 1177 


Mann 


94 CPS 1180 


Becton 


94 CPS 1600 


Morrison 


94 CPS 1673 


Chess 


94 CPS 1674 


Chess 


94 CPS 1731 


Nesnow 


94 CPS 1782 


Gray 


95 CPS 0010** 


West 


95 CPS 0012 


West 


95 CPS 0212 


Morrison 


95 CPS 0245 


Reilly 


95 CPS 0270 


Gray 


95 CPS 0427 


Nesnow 



03/21/95 
05/30/95 
05/16/95 
06/12/95 
03/07/95 
06/09/95 
04/20/95 
04/20/95 
03/09/95 
03/09/95 
05/30/95 
03/22/95 
05/08/95 
06/02/95 
06/13/95 
06/02/95 



10:2 NCR 



176 



Concrete Supply Company v. Environment, Health, & Natural Resources 
Setter Bros. Inc. v. Environment. Health, and Natural Resources 



94 EHR 0950 
94 EHR 1676 



Gray 
Nesnow 



05/23/95 
03/09/95 



10:6 NCR 414 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



609 



CONTESTED CASE DECISIONS 



ACI NO 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



John W VanHoy, Jr. &. Adjaccm Land Owners v. EHNR 
and 
Shugari Enterprises, Inc. 
Browning -Ferris Ind. of S. Atlantic, Inc. and Sampson Cry. Disposal, Inc 
v. Dept. of Environment, Health, and Natural Resources. 

and 
Hoke County and Bladen County 

Coastal Resources 

Howard C. Slack v. Coastal Resources Co mm, EHNR 

Davidson County Health Department 

John Dee Clodfelter v. Davidson County Health Dept.; EHNR 

Environmental Health 

EEE-ZZZ Lay Drain Compnay. Inc. v, On-Site Wastewater Section. 
Division of Environmental Health 

Environmental Management 

United Screen Printers, Inc V, EHNR, Div of Environmental Mgmt 
Empire Power Co. and George Clark v. EHNR, Div of Env. Mgmt. 
and 

Duke Power Company 
Empire Power Co. and George Clark v. EHNR, Div o( Env Mgmt. 
and 

Duke Power Company 
United Screen Printers, Ine v EHNR, Div. of Environmental Mgmt 
Kenan Oil Company, Inc v. EHNR, Div of Environmental Mgmt 
Moffitt and Pierce Construction. In^. v. EHNR, Environmental Mgmt. 

Hyde County Health Department 

Fritzner Heiuy v. Hyde County Health Department 

Macon County Health Department 

Four Residents on Genva Circle v Macon County Health Department 

Marine Fisheries 

Chancy Junior Sawyer v EHNR, Division of Marine Fisheries 

Maternal and Child Health 

Jimmy Franklin v. EHNR Maternal & Child Hlth, Nutrition Services 
Middleburg Variety v. EHNR, Maternal &. Child Health, Nutrition Sves. 
Taisser Shehadeh v. EHNR Maternal &. Child Health. Nutrition Svcs. 
Philip Haskins v. EHNR, Div. of Maternal & Child Health 

New Hanover County Health Department 

Gus Kalogiros v. New Hanover Co. (Health Dept.), Adm & Env. Svcs 

EQUAL EMPLOYMENT OPPORTUNITY 

Marsha Dianne McKoy v. DHR, Div. of MH/DD/SAS, Caswell Center 

HUMAN RESOURCES 

Helen J. Walls. D/B/A Walls Young World v. Dept. of Human Resources 



95 EHR 0016 Phipps 



95 EHR 0506 West 



95 EHR 0140 Phipps 



94 EHR 1037 Chess 



94 EHR 0745 Chess 



94 EHR 0<C4 



94 EHR 1202 



94 EHR 1786 



Gray 



Nesnow 



Che 



94 EHR 1073 Morrison 



90 EEO 0379 Chess 



94 DHR 1362 Becton 



03/17/95 



06/13/95 



03/22/95 



03/13/95 



04/24/95 



91 EHR U79* 5 


West 


05/30/95 


92 EHR 0021-' 


Gra> 


04/03/95 


92 EHR 0053*' 


Gray 


04/03/95 


93 EHR 0273* 


West 


05/30/95 


94 EHR 0894 


Nesnow 


05/08/95 


94 EHR 1755 


West 


06/06/95 



03/09/95 



03/27/95 



05/22/95 



94 EHR 0288 


Gray 


05/22/95 


94 EHR 1601 


Chess 


05/01/95 


94 EHR 1711 


Chess 


05/02/95 


94 EHR 1777 


Chess 


03/09/95 



04/28/95 



04/03/95 



03/20/95 



10:2 NCR 185 



Consolidated eases- 



610 



NORTH CAROLINA REGISTER 



J lily 3, 1995 



10:7 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Veronica Spearman, John P. Spearman v. Depi. of Human Resources 

Division of Child Development 

Iola M alloy v. DHR. Division of Child Development 

Esther Elder v. DHR. Division of Child Development 

Chapel Hill Day Care Center. Nancy Taylor v. DHR. Div. of Child Dev 

Facility Services 

William H. Cooke v. DHR, Division of Facility Services 
Mildred Reeee. Calvin Reo-e v. DHR, Division of Facility Svcs, 
Domiciliary & Group Care Section 

Bingo Licensure Section 

The Regular Veterans Association of the United States and the Sixteen 
Posts of the Regular Veterans Association of the United States and the 
Regular Veterans Association Auxiliary Located in the State of North 
Carolina V. DHR, Division of Facility Services, Bingo Licensure Section 

Certificate of Seed Section 

The Carroiton of Fayetteville, Inc. and Highland House of Fayetieville. 

Inc. and Richard Allen. Sr v DHR. Division of Facility Services. 

Certificate of Need Section 
and 

Pine Manor Rest Home, Inc., d/b/a Pine Manor Health Can 
The Carroiton of Fayetteville, Inc. and Highland House of Fayetteville, 

Uk. and Richard Allen. Sr. v. DHR. Division of Facility Services, 

Certificate of Need Section 
and 

Pine Manor Rest Home. Inc., d/b/a Pine Manor Health Care 
Retirement Villages, Inc. (Lessor), and Liberty Healthcare Ltd. 

Partnership (Lessee) D/B/A Countryside Villa of Duplin V. DHR. 

Division of Facility Services, Certificate of Need Section 
and 

Beaver Properties/Wallace. Inc., and Brian Center Health & Retirement/ 

Wallace, Inc. 

Office of Emergency Medical Services 
Charles M. Erwin v, DHR. Facility Svcs. Off. of Emgcy. Medical Svcs 
Division of Medical Assistance 

A.S., by and through her agent and personal representative. Hank Neal 

v. DHR. Division of Medical Assistance 
D.A., by and through his agent and personal representative. Hank Neal 

v. DHR, Division of Medical Assistance 

Division of Social Services 

Child Support Enforcement Section 

Daniel J. Carter v. Department of Human Resources 
Shawn Dominic Caldwell V. Department of Human Resources 
William Zonta Thompson v, Department of Human Resources 
Jackie E. Hackney v. Department of Human Resources 
Frank M. Swett v. Department of Human Resources 
Elbert Quick v. Department of Human Resources 
Clement McMillan v. Department of Human Resources 
Larry James Walker Jr. v. Department of Human Resources 
James R. Gray v. Department of Human Resources 
Lacy Green, Jr. v. Department of Human Resources 
Leon McNair V. Department of Human Resources 
Edwin A. Clarke v. Department of Human Resources 
Wolfgang R. Walker v. Department of Human Resources 



95 DHR 0216 Reilly 



94 DHR 0849 Mann 

94 DHR 1771 Reilly 

95 DHR 0450 Phipps 



94 DHR 0565 Gray 

94 DHR 1783 Gray 



95 DHR 0040 Morrison 



94 DHR 0197^ Reilly 



94 DHR 019S* 2 Reillv 



94 DHR 0403 Chess 



92 DHR 1697 Chess 

93 DHR 1736 Reilly 
*3 DHR 1737 Reilly 



06/02/95 



03/03/95 
03/17/95 
06/02/95 



03/16/95 
03/16/95 



04/13/95 



04/05/95 



04/05/95 



12/14/94 



05/16/95 



05/22/95 

05/22/95 



91 CSE 


1103 


Morrison 


03/03/95 


92 CSE 


1449 


Reilly 


03/29/95 


92 CSE 


1559 


Reilly 


03/29/95 


93 CSE 


1088 


Chess 


03/20/95 


93 CSE 


1123* 3 


Reilly 


05/16/95 


93 CSE 


1169 


Chess 


03/08/95 


93 CSE 


1208 


Chess 


03/08/95 


93 CSE 


1255 


Momson 


06/12/95 


93 CSE 


1258 


Chess 


03/08/95 


93 CSE 


1295 


Chess 


03/08/95 


93 CSE 


1317 


Becton 


04/04/95 


93 CSE 


1319 


Chess 


03/08/95 


93 CSE 


1374 


Gray 


04/28/95 



10:6 NCR 409 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



611 



CONTESTED CASE DECISIONS 



a<;kncy 



Wyatt Roseboro v. Department of Human Resources 

Lloyd Lane Speake v. Department of Human Resources 

Terry L. Yoder v. Department of Human Resources 

Ronald E. Lewis v. Department of Human Resources 

Richard L. Hiott v. Department of Human Resources 

Cecil Ray Hinshaw v. Department of Human Resources 

Terry C. Brown v. Department of Human Resources 

Henry C. Banks v. Department of Human Resources 

Lucille B. Dutter v. Department of Human Resources 

Charles Bascom Kiker v. Department of Human Resources 

Mandel Curry Edw'ards v. Department of Human Resources 

Tony M. Tart v. Department of Human Resources 

Wade E. Hampton V. Department of Human Resources 

Gary Jay Stocks v. Department of Human Resources 

Paul E. Strawcutler v. Department of Human Resources 

John L. Osborne (Jr.) v. Department of Human Resources 

Richard L. Garver v. Department of Human Resources 

Cary G. Dannelly v. Department of Human Resources 

Robert G. Baker v. Department of Human Resources 

Tyrone Waddell v. Department of Human Resources 

Bernard T. Wade v. Department of Human Resources 

Rochester Levi Jones v. Department of Human Resources 

Timothy Brian Eller v. Department of Human Resources 

Morgan Pate, Jr. v. Department of Human Resources 

Robert E. Dudley, Sr. v. Department of Human Resources 

Julian LatUmore v. Department of Human Resources 

James McFadden v, Department of Human Resources 

Anthony D. McCain v. Department of Human Resources 

John C. Kay v. Department of Human Resources 

Raymond B. Clontz Jr. v. Department of Human Resources 

James C Rogers v. Department of Human Resources 

Ruby Fewell Henry v. Department of Human Resources 

Michael Leon McCain v. Department of Human Resources 

George C. Flowers v. Department of Human Resources 

Kendrick William Sims v. Department of Human Resources 

Carl E. Coffey v. Department of Human Resources 

Richard Dill v. Department of Human Resources 

Jonathan D. Cauthen V. Department of Human Resources 

Ronnie J. Goins v. Department of Human Resources 

Ted C. Jenkins v. Department of Human Resources 

Anthony J. Gibbons v. Department of Human Resources 

Grant Jules Marks v. Department of Human Resources 

Aaron C. Harris v. Department of Human Resources 

Donald L. Costello Sr. v. Department of Human Resources 

Kelvin L. Lankford v. Department of Human Resources 

Jeffrey Thomas Chambers v. Department of Human Resources 

Robert J. Holden v. Department of Human Resources 

Janet M. Johnson v. Department of Human Resources 

Michael L. Wright v. Department of Human Resources 

Terry S. Gurganus v. Department of Human Resources 

John Napoleon Window Cross Pullium v. Dept of Human Resources 

Charles F. Haag Jr. V. Department of Human Resources 

Michael J. Montroy v. Department of Human Resources 

Clarence Benjamin Banks Jr. v. Department of Human Resources 

Dennis L. Moore v. Department of Human Resources 

John Carroll Rodgers v. Department of Human Resources 

James Edward Knox, Jr. v. Department of Human Resources 

Kimberly M. Rinaldi, Robert L. Rinaldi v. Dept. of Human Resources 

David House v. Department of Human Resources 

Aqustin S. Sanchez v. Department of Human Resources 

Fred Carter Jr. v. Department of Human Resources 

Ricky Ratliff v. Department of Human Resources 

Willie McNeil Jr. v. Department of Human Resources 

Ray Douglas Brickhouse v. Department of Human Resources 

Tyron G. Moore v. Department of Human Resources 

Paul A. Card v. Department of Human Resources 

James P. Barton, III v. Department of Human Resources 

Damn Yancey v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


AEJ 


DECISION 


93 CSE 1423 


Becton 


04/25/95 


93 CSE 1451 


Chess 


03/22/95 


93 CSE 1498 


Nesnow 


06/02/95 


93 CSE 1508 


Mann 


05/18/95 


93 CSE 1509 


Mann 


04/21/95 


93 CSE 1513 


Gray 


05/08/95 


93 CSE 1516 


Morrison 


05/08/95 


93 CSE 1556 


Chess 


03/22/95 


93 CSE 1558 


Chess 


03/13/95 


93 CSE 1561 


Mann 


04/21/95 


93 CSE 1566** 


Gray 


05/31/95 


93 CSE 1588 


Becton 


06/08/95 


93 CSE 1593 


Chess 


04/20/95 


93 CSE 1652 


Chess 


03/21/95 


93 CSE 1713 


Mann 


03/13/95 


94 CSE 0140 


Mann 


05/30/95 


94 CSE 0512 


Becton 


06/12/95 


94 CSE 1033 


Nesnow 


03/24/95 


94 CSE 1094 


Chess 


03/06/95 


94 CSE 1096 


Mann 


05/30/95 


94 CSE 1101 


Becton 


04/03/95 


94 CSE 1116 


Chess 


05/15/95 


94 CSE 1119 


Reilly 


03/29/95 


94 CSE 1127 


Mann 


03/20/95 


94 CSE 1 128 


Mann 


03/31/95 


94 CSE 1131 


Reilly 


03/13/95 


94 CSE 1 132 


West 


03/14/95 


94 CSE 1141 


Nesnow 


05/16/95 


94 CSE 1 143 


Chess 


04/13/95 


94 CSE 1 149 


Nesnow 


03/03/95 


94 CSE 1 153 


Gray 


04/04/95 


94 CSE 1157 


Nesnow 


03/16/95 


94 CSE 1 158 


Becton 


05/16/95 


94 CSE 1 184 


Mann 


05/02/95 


94 CSE 1186 


Chess 


05/01/95 


94 CSE 1191 


West 


05/25/95 


94 CSE 1195 


Mann 


03/29/95 


94 CSE 1213 


Chess 


06/01/95 


94 CSE 1214 


Chess 


06/01/95 


94 CSE 1218 


Gray 


03/15/95 


94 CSE 1219 


Gray 


03/15/95 


94 CSE 1222 


Morrison 


06/13/95 


94 CSE 1225 


ReiUy 


04/10/95 


94 CSE 1228 


West 


03/17/95 


94 CSE 1229 


West 


03/17/95 


94 CSE 1231 


Nesnow 


03/03/95 


94 CSE 1232 


Nesnow 


03/15/95 


94 CSE 1236 


Mann 


06/02/95 


94 CSE 1237 


Gray 


03/15/95 


94 CSE 1239 


Gray 


03/02/95 


94 CSE 1241 


Gray 


03/15/95 


94 CSE 1242 


Gray 


05/31/95 


94 CSE 1244 


Morrison 


03/13/95 


94 CSE 1247 


Morrison 


05/17/95 


94 CSE 1249 


Morrison 


03/02/95 


94 CSE 1251 


ReUly 


05/18/95 


94 CSE 1254 


Reilly 


03/13/95 


94 CSE 1255 


Reilly 


05/18/95 


94 CSE 1256 


Reilly 


03/15/95 


94 CSE 1259 


West 


03/06/95 


94 CSE 1260 


West 


05/22/95 


94 CSE 1261 


West 


03/17/95 


94 CSE 1262 


West 


03/17/95 


94 CSE 1263 


West 


03/17/95 


94 CSE 1264 


West 


03/17/95 


94 CSE 1266 


Nesnow 


03/13/95 


94 CSE 1267 


Nesnow 


06/02/95 


94 CSE 1269 


Nesnow 


03/15/95 



PUBLISHED DECISION 
REGISTER CITATION 



612 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CONTESTED CASE DECISIONS 



AGENCY 



Douglas L. Lucas v. Department of Human Resources 

Gregory D. Simpson v. Department of Human Resources 

Michael Lynn Avery v. Department of Human Resources 

Elvis M. Graham v. Department of Human Resources 

Shawn Fonville v. Department of Human Resources 

James Lee. Jr. v. Department of Human Resources 

Noah L. Houston, Sr. v. Department of Human Resources 

Shannon Vanderaa v. Department of Human Resources 

Anthony Murray v. Department of Human Resources 

Tommy L. Burchfield v. Department of Human Resources 

Gregory A. Rodngues v. Department of Human Resources 

Larry R. Bales v. Department of Human Resources 

Karl Philip Jursen v. Department of Human Resources 

David Harrington v. Department of Human Resources 

Sterling Womack v. Department of Human Resources 

Hubert Bowe v. Department of Human Resources 

Edward Fitch v. Department of Human Resources 

Otis Lewis Jr. v. Department of Human Resources 

Robert F. Catoe Jr. v. Department of Human Resources 

William Anthony Winchester v. Department of Human Resources 

Aaron L. Clark v. Department of Human Resources 

Vincent R. Valles Sr v. Department of Human Resources 

Gary W. Gibson v. Department of Human Resources 

Mark A West v. Department of Human Resources 

John E. Bolas Jr v. Department of Human Resources 

Gary C. Wiggins v. Department of Human Resources 

Rhonnie J. Williams v. Department of Human Resources 

Danny Ray Hensley v. Department of Human Resources 

Rawn Weigel v. Department of Human Resources 

David C. Glenn v. Department of Human Resources 

Marc F. Carboni v. Department of Human Resources 

Ivy M. Harveil v. Department of Human Resources 

Terry L. McMillon v. Department of Human Resources 

Garry G Hickman v. Department of Human Resources 

Willie Herring v. Department of Human Resources 

Joe C Dean v. Department of Human Resources 

Jimmie E. Barnes v. Department of Human Resources 

Cecilia Carmosino v. Department of Human Resources 

Marvin F. Walker v. Department of Human Resources 

Richard J. Almeida v. Department of Human Resources 

Michael R. French v. Department of Human Resources 

William R. Casey v Department of Human Resources 

John A. Jackson v. Department of Human Resources 

Michael R. Roberts v. Department of Human Resources 

Cleothis B. Smith v. Department of Human Resources 

Leroy Johnson Jr. v. Department of Human Resources 

James Patterson v. Department of Human Resources 

Thomas Colon v. Department of Human Resources 

Walter Swirniak Jr. v. Department of Human Resources 

Manon Rodriguez v. Department of Human Resources 

Jerry L. White Sr. v. Department of Human Resources 

Dermis James Gnmes v. Department of Human Resources 

Scott John Tozzi v. Departmeni of Human Resources 

Roger A. Eaton v. Department of Human Resources 

Willie J. Rowers Jr. v. Department of Human Resources 

Jeffrey James Spence v. Department of Human Resources 

Byron C. Alston v. Departmeni of Human Resources 

Oliver Lee Wolfe Sr. v. Department of Human Resources 

James Tracy Strickland v. Department of Human Resources 

Michael K. Reese v. Department of Human Resources 

Richard G. Med ford, Jr. v. Department of Human Resources 

Theresa Strader v. Department of Human Resources 

James F. Williams v. Department of Human Resources 

Kennedy C. Uzomba v Departmeni of Human Resources 

Marion A. Ward v. Department of Human Resources 

Robert H. Owens v. Department of Human Resources 

Samuel A. Lewis v. Department of Human Resources 

Robert Lee Wall v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


AU 


DECISION 


94 CSE 1270 


Nesnow 


03/15/95 


94 CSE 1272 


Becton 


03/15/95 


94 CSE 1274 


Becton 


03/15/95 


94 CSE 1275 


Becton 


03/15/95 


94 CSE 1277 


Becton 


03/06/95 


94 CSE 1280 


Chess 


04/10/95 


94 CSE 1284 


Chess 


04/26/95 


94 CSE 1286 


Mann 


03/21/95 


94 CSE 1287 


Mann 


03/21/95 


94 CSE 1289 


Mann 


03/21/95 


94 CSE 1300 


Mann 


03/21/95 


94 CSE 1302 


Gray 


03/02/95 


94 CSE 1303 


Gray 


03/15/95 


94 CSE 1304 


Morrison 


05/22/95 


94 CSE 1305 


Morrison 


05/18/95 


94 CSE 1308 


Mann 


05/18/95 


94 CSE 1313 


Mann 


05/02/95 


94 CSE 1314 


Mann 


03/21/95 


94 CSE 1329 


Momson 


03/15/95 


94 CSE 1331 


Reilly 


03/15/95 


94 CSE 1332 


Reilly 


03/15/95 


94 CSE 1333 


West 


03/17/95 


94 CSE 1334 


West 


03/06/95 


94 CSE 1335 


West 


03/17/95 


94 CSE 1336 


Nesnow 


03/15/95 


94 CSE 1338 


Nesnow 


03/15/95 


94 CSE 1339 


Beaton 


03/15/95 


94 CSE 1340 


Becton 


03/15/95 


94 CSE 1342 


Chess 


05/22/95 


94 CSE 1343 


Chess 


04/20/95 


94 CSE 1344 


Chess 


06/01/95 


94 CSE 1345 


Mann 


03/21/95 


94 CSE 1346 


Mann 


03/21/95 


94 CSE 1348 


Gray 


03/15/95 


94 CSE 1350 


Momson 


03/02/95 


94 CSE 1351 


Momson 


03/15/95 


94 CSE 1352 


Reilly 


03/03/95 


94 CSE 1354 


West 


03/17/95 


94 CSE 1355 


West 


03/17/95 


94 CSE 1357 


Nesnow 


03/15/95 


94 CSE 1359 


Becton 


03/15/95 


94 CSE 1369 


Mann 


05/02/95 


94 CSE 1370 


Mann 


03/07/95 


94 CSE 1371 


Mann 


03/21/95 


94 CSE 1373 


Gray 


03/15/95 


94 CSE 1377 


Mann 


03/31/95 


94 CSE 1378 


Morrison 


03/15/95 


94 CSE 1379 


Reilly 


03/15/95 


94 CSE 1382 


West 


03/17/95 


94 CSE 1385 


Nesnow 


03/03/95 


94 CSE 1387 


Nesnow 


03/15/95 


94 CSE 1388 


Becton 


03/15/95 


94 CSE 1389 


Becton 


03/15/95 


94 CSE 1392 


Gray 


03/09/95 


94 CSE 1393 


Morrison 


03/15/95 


94 CSE 1394 


Reilly 


03/15/95 


94 CSE 1396 


Nesnow 


03/03/95 


94 CSE 1397 


Mann 


03/31/95 


94 CSE 1398 


Mann 


03/31/95 


94 CSE 1412 


Gray 


03/31/95 


94 CSE 1415 


Morrison 


03/02/95 


94 CSE 1416 


Momson 


03/21/95 


94 CSE 1417 


Morrison 


03/21/95 


94 CSE 1420 


Reilly 


04/03/95 


94 CSE 1421 


Reilly 


03/03/95 


94 CSE 1423 


Reilly 


06/02/95 


94 CSE 1424 


Reilly 


04/03/95 


94 CSE 1425 


West 


03/31/95 



PUBLISHED DECISION 
REGISTER CITATION 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



613 



CONTESTED CASE DECISIONS 



AGFNCY 



James M. Breaden Jr. v. Department of Human Resources 

Peter G. Coley v. Department of Human Resources 

Benjamin Nuriddin v. Department of Human Resources 

Robert L. Carter v. Department of Human Resources 

Danny Columbus Baker v. Department of Human Resources 

Duke William Dupre' v. Department of Human Resources 

Audrey Jennings v. Department of Human Resources 

Michael A. Camp v. Department of Human Resources 

Martin J- Miller v. Department of Human Resources 

Willie Cherry, Jr. v. Department of Human Resources 

William V. Glennon v. Department of Human Resources 

Alaster Williams v. Department of Human Resources 

Henry L. Gibbs v. Department of Human Resources 

Roger Gene Fehlhaber v. Department of Human Resources 

Lawrence Dow Dean v. Department of Human Resources 

Beau L. Miller v. Department of Human Resources 

Claude E. Alston v. Department of Human Resources 

Elizabeth F. West v. Department of Human Resources 

John H. Underwood v. Department of Human Resources 

James T Dudley Jr. v. Department of Human Resources 

Lori Davis Humphrey v. Department of Human Resources 

Robert L. Freeland, Jr. v. Department of Human Resources 

Antonio Darden (IV-D #1237637) v. Department of Human Resources 

Antomo Darden (TV-D #12801 16) v. Department of Human Resources 

Antonio Darden (IV-D #1233347) v. Department of Human Resources 

Michael Shannon v. Department of Human Resources 

Cyrus R. Luallen v. Department of Human Resources 

Harold Dean Horn v. Department of Human Resources 

James B. Miller v. Department of Human Resources 

Glenn Allison v. Department of Human Resources 

Louis R. Salamone v. Department of Human Resources 

Lee R. Jones v. Department of Human Resources 

Randy Norris Willis v. Department of Human Resources 

Michael E. Bellamy v. Department oi Human Resources 

Eddie James Johnson v. Department of Human Resources 

Coley C. Matthews v. Department of Human Resources 

Willie J. Gadson v. Department of Human Resources 

Donald Lee Barcliff v. Department of Human Resources 

James W. Nunnery v. Department of Human Resources 

William Leroy Watkins v. Department of Human Resources 

Bailey White v. Department of Human Resources 

Peter Ian Oliveira v. Department of Human Resources 

Ronald E. Lewis v. Department of Human Resources 

Wesley Kelvin Cook v. Department of Human Resources 

Everett Lee Hunt v. Department of Human Resources 

Carlos L. Robinson v. Department of Human Resources 

Eddie O. Toro v. Department of Human Resources 

Timothy Mark Johnson v. Department of Human Resources 

Alan W. Karsner v. Department of Human Resources 

Volna Ramone Gales v. Department of Human Resources 

Bruce Kelly Jacobs v. Department of Human Resources 

Tony Collins v. Department of Human Resources 

Ronald O. Biggs v. Department of Human Resources 

Keith Dewayne Senters v. Department of Human Resources 

Marvin B. Harris v. Department of Human Resources 

Jay C. Edwards, ID v. Department of Human Resources 

Mahalon E. White v. Department of Human Resources 

Dennis Ray Alexander v. Department of Human Resources 

Joseph R- &. Linda M. Grooms v. Department of Human Resources 

Robert M. Martin v. Department of Human Resources 

Ashton Berry Gatlin v. Department of Human Resources 

Louis Cragg HI v. Department of Human Resources 

David A. Gaskins v. Department of Human Resources 

Kevin Ervin Kelley v. Department of Human Resources 

Ellen Downing v. Department of Human Resources 

Charles R. Hauley v. Department of Human Resources 

Michael L. Schadler v. Department of Human Resources 

Owen B. Fisher Jr. v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


AU 


DECISION 


94 CSE 1426 


West 


03/31/95 


94 CSE 1427 


West 


03/31/95 


94 CSE 1429 


West 


03/31/95 


94 CSE 1430 


Nesnow 


03/24/95 


94 CSE 1431 


Nesnow 


03/24/95 


94 CSE 1432 


Nesnow 


03/24/95 


94 CSE 1433 


Nesnow 


03/24/95 


94 CSE 1435 


Becton 


03/06/95 


94 CSE 1436 


Becton 


03/06/95 


94 CSE 1439 


Chess 


03/03/95 


94 CSE 1444 


Mann 


03/07/95 


94 CSE 1445 


Gray 


03/02/95 


94 CSE 1446 


Morrison 


03/21/95 


94 CSE 1447 


Reilly 


04/03/95 


94 CSE 1450 


Gray 


06/09/95 


94 CSE 1452 


West 


03/07/95 


94 CSE 1454 


Nesnow 


04/17/95 


94 CSE 1455 


Nesnow 


03/07/95 


94 CSE 1456 


Nesnow 


04/17/95 


94 CSE 1457 


Nesnow 


04/28/95 


94 CSE 1459 


Becton 


03/06/95 


94 CSE 1460 


Becton 


04/07/95 


94 CSE 1461 


Becton 


04/07/95 


94 CSE 1462 


Becton 


04/07/95 


94 CSE 1463 


Becton 


04/07/95 


94 CSE 1466 


Chess 


06/09/95 


94 CSE 1470 


Mann 


03/31/95 


94 CSE 1471 


Mann 


03/07/95 


94 CSE 1472 


Mann 


03/07/95 


94 CSE 1473 


Gray 


03/02/95 


94 CSE 1474 


Gray 


03/09/95 


94 CSE 1475 


Gray 


05/19/95 


94 CSE 1476 


Morrison 


03/21/95 


94 CSE 1477 


Morrison 


03/02/95 


94 CSE 1478 


Morrison 


03/02/95 


94 CSE 1479 


Morrison 


03/21/95 


94 CSE 1480 


Reilly 


04/10/95 


94 CSE 1482 


Reilly 


04/10/95 


94 CSE 1484 


Nesnow 


04/17/95 


94 CSE 1486 


Nesnow 


04/17/95 


94 CSE 1487 


Nesnow 


05/23/95 


94 CSE 1489 


Becton 


03/07/95 


94 CSE 1491 


Becton 


03/07/95 


94 CSE 1492 


Becton 


04/07/95 


94 CSE 1493 


Chess 


06/01/95 


94 CSE 1499 


Mann 


03/31/95 


94 CSE 1500 


Mann 


03/31/95 


94 CSE 1502 


Mann 


05/02/95 


94 CSE 1503 


Mann 


05/02/95 


94 CSE 1505 


Gray 


04/07/95 


94 CSE 1508 


Gray 


03/31/95 


94 CSE 1511 


Gray 


03/02/95 


94 CSE 1512 


Gray 


04/07/95 


94 CSE 1513 


Gray 


04/28/95 


94 CSE 1533 


Morrison 


03/02/95 


94 CSE 1534 


Morrison 


04/06/95 


94 CSE 1537 


Morrison 


04/06/95 


94 CSE 1538 


Reilly 


03/03/95 


94 CSE 1539 


Reilly 


03/07/95 


94 CSE 1541 


Reilly 


03/07/95 


94 CSE 1542 


Reilly 


04/10/95 


94 CSE 1543 


West 


03/06/95 


94 CSE 1548 


West 


05/22/95 


94 CSE 1549 


Nesnow 


06/02/95 


94 CSE 1553 


Nesnow 


03/30/95 


94 CSE 1554 


Becton 


03/07/95 


94 CSE 1555 


Becton 


03/07/95 


94 CSE 1562 


Becton 


04/07/95 



PUBLISHED DECISION 
REGISTER CITATION 



614 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CONTESTED CASE DECISIONS 



AGENCY 



Robin Delmar Goods v. Department of Human Resources 
Julio Alvarado Jr. v. Department of Human Resources 
Thomas A. Morgan v. Department of Human Resources 
Terrenct R. McLaughlin v. Department of Human Resources 
Ward F. Miller v. Department of Human Resources 
Joel P. Roth v. Department of Human Resources 
Atward T. Warren v. Department of Human Resources 
Albert Noah Dunlap v. Department of Human Resources 
James E. Davis v. Department of Human Resources 
Roger T. Benoy v. Department of Human Resources 
Spencer P. Johnson v. Department of Human Resources 
James A. Bryant v. Department of Human Resources 
Conrade Dunklin v. Department of Human Resources 
Kenneth J. Balfour V. Department of Human Resources 
Willie A. Harris v. Department of Human Resources 
Walter T. Townsend Jr. v. Department of Human Resources 
Dennis W. Nolan v. Department of Human Resources 
Roderick Odell Adams v. Department of Human Resources 
Jonathan L. Payne II v. Department of Human Resources 
Charles Scott Wilhoit v. Department of Human Resources 
Mickey Bridgett v. Department of Human Resources 
John Kimmons v. Department of Human Resources 
Randolph J. Nunn v. Department of Human Resources 
David Lester Gordon v Department of Human Resources 
Larry James Walker, Jr. v. Department of Human Resources 
Wade A. Burgess v. Department of Human Resources 
Anthony Harrison v. Department of Human Resources 
Michael D. Tyree v. Department of Human Resources 
Edward Fisher v. Department of Human Resources 
Bernard Cooper v. Department of Human Resources 
William Gray v. Department of Human Resources 
Edward Lockhart v. Department of Human Resources 
Jimmy R. Jackson v. Department of Human Resources 
Mark A. Jones v. Department of Human Resources 
Ondino Damota Freitas v. Department of Human Resources 
Tony Monzell Perry v. Department of Human Resources 
Frank M. Swett v. Department of Human Resources 
James B. Stokes Jr. v. Department of Human Resources 
Andrew P. Jergens v. Department of Human Resources 
Nelson Bennett v Department of Human Resources 
Eric L. McDonald v. Department of Human Resources 
Kenny R, Bradshaw v. Department of Human Resources 
Eddie Hams Jr. v Department of Human Resources 
Anthony B Gardner v Department of Human Resources 
Lewis M. Scarborough v. Department of Human Resources 
Robert Larry Martin v. Department of Human Resources 
Dwane M. Williams v. Department of Human Resources 
Joseph O. Evans v. Department of Human Resources 
Donald E. Kirby v. Department of Human Resources 
Paul R. Ross v. Department of Human Resources 
Bobby Dain Massey v. Department of Human Resources 
Mandel Curry Edwards v. Department of Human Resources 
Carol Jeanne Deese v. Department of Human Resources 
Joyce Ann Wilkinson v. Department of Human Resources 
Michael A. Bradford v. Department of Human Resources 
Rasoul Behboudi v. Department of Human Resources 
Sanders Gilliard Hunter v. Department of Human Resources 
Clarence O. Hilliard v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


94 CSE 


1563 


Bccton 


04/07/95 


94 CSE 


1564 


Becton 


05/22/95 


94 CSE 


1567 


Chess 


06/02/95 


94 CSE 


1569 


Chess 


03/07/95 


94 CSE 


1571 


Chess 


04/19/95 


94 CSE 


1572 


West 


03/14/95 


94 CSE 


1573 


West 


03/31/95 


94 CSE 


1577 


Reilly 


04/10/95 


94 CSE 


1578 


Reilly 


04/10/95 


94 CSE 


1579 


Reilly 


03/03/95 


94 CSE 


1580 


Reilly 


04/10/95 


94 CSE 


1582 


Momson 


04/06/95 


94 CSE 


1583 


Morrison 


04/06/95 


94 CSE 


1584 


Momson 


03/07/95 


94 CSE 


1586 


Morrison 


04/06/95 


94 CSE 


1587 


Gray 


04/28/95 


94 CSE 


1590 


Gray 


03/31/95 


94 CSE 


1591 


Gray 


04/07/95 


94 CSE 


1592 


Momson 


04/06/95 


94 CSE 


1594 


Reilly 


04/21 '95 


94 CSE 


1595 


West 


05/08/95 


94 CSE 


1596 


Nesnow 


04/17/95 


94 CSE 


1608 


Mann 


03/21/95 


94 CSE 


1609 


Mann 


03/13/95 


94 CSE 


1610 


Chess 


06/01/95 


94 CSE 


1611 


Chess 


06/09/95 


94 CSE 


1615 


Becton 


04/07/95 


94 CSE 


1619 


Becton 


04/07/95 


94 CSE 


1621 


Becton 


04/07/95 


94 CSE 


1623 


Nesnow 


04/17/95 


94 CSE 


1645 


Becton 


04/25/95 


94 CSE 


1646 


Chess 


06/02/95 


94 CSE 


1648 


Gray 


03/09/95 


94 CSE 1649 


Morrison 


03/07/95 


94 CSE 


1650 


Reilly 


03/07/95 


94 CSE 


1651 


West 


04/07/95 


94 CSE 1652* 3 


Reilly 


05/16/95 


94 CSE 


1653 


Becton 


04/07/95 


94 CSE 


1655 


Mann 


05/22/95 


94 CSE 


1656 


Gray 


03/02/95 


94 CSE 


1657 


Morrison 


04/06/95 


94 CSE 


1700 


Reilly 


04/10/95 


94 CSE 


1702 


Becton 


04/07/95 


94 CSE 


1704 


Mann 


05/02/95 


94 CSE 


1725 


West 


05/25/95 


94 CSE 


1750 


Chess 


03/21/95 


94 CSE 


1759 


Nesnow 


06/09/95 


94 CSE 


1766 


Chess 


03/21/95 


94 CSE 


1767 


Reilly 


03/03/95 


94 CSE 


1778 


West 


03/06/95 


94 CSE 


1798 


Gray 


04/27/95 


94 CSE 


1799*" 


Gray 


05/31/95 


94 CSE 


1814 


Morrison 


04/27/95 


95 CSE 0071 


Becton 


04/04/95 


95 CSE 0116 


Mann 


05/25/95 


95 CSE 0147 


West 


05/18/95 


95 CSE 0284 


Phipps 


05/22/95 


95 CSE 0371 


Reilly 


05/25/95 



PUBLISHED DECISION 
REGISTER CITATION 



Distribution Child Support 
Lisa J. Hill v. DHR, Div. of Social Svcs., Child Support Enf. Section 
Rocbngham Countx Department of Social Services 



95 DCS 0239 



Phipps 



05/02/95 



Crystean Fields v. Rockingham County DSS 



95 DHR 0316 



Reilly 



06/01/95 



70:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



615 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Wake Coiony Social Services 

Grace A. Wright v. Wake County Social Services., Suzanne Woodell 
and Craig Glenn 

INSURANCE 

Grace F. Watkins v. Teachers' & St. Emp. Comp. Major Med. Plan 
Billy Gene Campbell v. Department of Insurance 

JUSTICE 

Alarm Systems Licensing Board 

Patrick P. Sassman v. Alarm Systems Licensing Board 

Education and Training Standards Division 

Ricky Dale McDevitt v. Sheriffs Ed. & Training Stds. Comm. 
Reginald Keith Goffington v. Ciminal Justice Ed. & Training Stds. Comm. 
Nervin Joseph DeDeaux v. Criminal Justice Ed. &. Training Stds. Comm. 
Tony Lamont Blackmon v. Criminal Justice Ed. &. Training Stds. Comm. 
Constance F. Lawrence v. Sheriffs Ed. &. Training Stds. Comm. 
Alexander Douglas Jones v. Criminal Justice Ed. &. Training Stds. Comm. 
Richard Dan Wuchte v. Criminal Justice Ed. & Training Stds. Comm. 



94 DHR 1618 



94 INS 1639 

95 INS 0143 



94 DOJ 1825 



Chess 
Reilly 



Reilly 



05/03/95 



05/24/95 
04/20/95 



03/09/95 



94 DOJ 1710 


Nesnow 


05/04/95 


10:5 NCR 


324 


95 DOJ 0028 


Becton 


06/08/95 






95 DOJ 0029 


Reilly 


05/16/95 






95 DOJ 0043 


Reilly 


06/02/95 






95 DOJ 0076 


Morrison 


04/06/95 






95 DOJ 0101 


Morrison 


06/13/95 


10:7 NCR 


627 


95 DOJ 0401 


Nesnow 


06/07/95 







Private Protective Services Board 



Lewis Austin Saintsing v. Private Protective Services Board 
Marcus T. Williams v. Private Protective Services Board 
Melvin Ray Cooper v. Private Protective Services Board 
Donnell E. Morrow, Jr. v. Private Protective Services Board 
Private Protective Services Board v. James C. Purvis 
Private Protective Services Board v. Samuel O. Smith 
Jann Mitchell Stanley v. Private Protective Services Board 



94 DOJ 1000 


Chess 


03/03/95 


94 DOJ 1064 


Chess 


02/24/95 


94 DOJ 1635 


Reilly 


03/09/95 


94 DOJ 1823 


Reilly 


03/09/95 


95 DOJ 0018 


Chess 


05/15/95 


95 DOJ 0133 


Chess 


05/09/95 


95 DOJ 0420 


Morrison 


05/24/95 



LABOR 



Occupational Safety & Health Division 

Lenoir County Public Schools v. Department of Labor, OSHA 

Wage and Hour Division 

R.J. Scott, Pres. Pirate Enterprises, Inc. v. Labor, Wage & Hour Div. 

PUBLIC INSTRUCTION 



95 DOL 0218 



94 DOL 1524 



Nesnow 



West 



05/01/95 



03/23/95 



Glenn D, on behalf of Glenn U, and Glenn II, Individually v. Charlotte- 
Mecklenburg County Schools 

S.M. on Behalf of J.A.M., and S.M., Individually, and J.M. v. Davie 
County Board of Education 

William Hewett v. State Board of Education 

James Midgette v. State Board of Education 

Deborah R. Crouse v. State Board of Education95 EDC 0003 

Bobby G. Little v. Department of Public Instruction 

Tonya Marie Snipes and Robert Leon Snipes v. Grange County Schools 

Lavem K. Suggs v. Guilford County Schools 95 EDC 0385 

Kenneth G.H. Leftwich v. State Board of Education 



93 EDC 0549 


Chess 


93 EDC 0742 


Phipps 


94 EDC 0533 


Gray 


94 EDC 1401 


Reilly 


Chess 


04/10/95 


95 EDC 0168 


Phipps 


95 EDC 0225 


Mann 


Nesnow 


06/02/95 


95 EDC 0405 


Nesnow 



03/16/95 
05/30/95 



03/31/95 
05/02/95 



03/20/95 
05/15/95 



05/25/95 



10:2 NCR 



179 



STATE PERSONNEL 

Caswell County Health Department 

Delia Brown v. Caswell County Health Department 
Julie R. Johnson v. Caswell County Health Department 



94 OSP 0834 
94 OSP 0865 



Nesnow 
Reilly 



06/12/95 
03/15/95 



616 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 

NUMBER 



ALJ 



DATE OF 

DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



N.C. Central University 

Peter A. Fore v. N.C. Central University 

Department of Commerce 

T. Sherwood Jemigan v. Depi. of Commerce, Savings Institution Div. 

Department of Correction 

Nancy Gilchrist v. Department of Correction 

Howard Gray Sadler v. Correction, Div. of Adult Probation/Paroie 

Thomas Wayne Smathers v . Department of Correction 

George J. McClease, Jr. v. Department of Correction 

Ruth Kearney v. Department of Correction 

Office of the District Attorney 

Shannon Caudill v Office of the District Attorney for Judicial 
District 17-B, and Administrative Office of the Courts 

East Carolina University 

Lillie Mercer Atkinson v. ECU, Depi. of Comparative Medicine, et al. 
Lillie Mercer Atkinson v. ECU, Dept. of Comparative Medicine, et al. 

Department of Environment, Health, and Natural Resources 

Babette K. MeKemie v. EHNR, Div of Environmental Management 

FayetteviUe State University 

George Benstead v. FayetteviUe State University 

Forsyth Stokes Mental Health Center 

Michael Howell v. Forsyth Stokes Mental Health Center 

Department of Human Resources 

April Benfield v. Department of Human Resources 
and 
Western Carolina Center 
Eugene Hightower, Jr. v. Department of Human Resources, EEO 
Rebecca Johnson v. Human Resources, Special Care Center 

Cherry Hospital 
William H. Cooke v DHR, Cherry Hospitai 

Durham County Department of Social Services 
Delores H. Jeffers v. Durham County Department of Social Services 

Gaston County Department of Social Services 
Bobbie J. Gilliam v. Gaston County Department of Social Services 

Iredell County Department of Social Services 

Vernon E. Grosse v. Iredell County Department of Social Services 
Bonnie N. Bellamy v. Iredell County Department of Social Services 

Wake County Department of Healtfi 

Regina K. Crowder v. Wake County/Health Dept., Caroline E. Lee, Dir. 
Sabrina R. Crowder v. Wake County/Health Dept., Richard Stevens 
Thomasine D. Avery v. Wake County/Health Department 



93 OSP0189 



94 OSP 0775 



95 OSP 0188 



95 OSP 0038* 
95 OSP 0057*^ 



94 OSP 0358 



94 OSP 1597 



94 OSP 0499 



93 OSP 1547 



94 OSP 0939 



94 OSP 0770 



94 OSP 0282 
94 OSP 0739 



Nesnow 



West 



Nesnow 



Bee ton 
Becton 



Chess 



Nesnow 



Chess 



Gray 



Morrison 



West 



Becton 
Chess 



06/13/95 



05/25/95 



94 OSP 0121 


West 


03/09/95 


94 OSP 0332 


West 


05/15/95 


94 OSP 0590 


West 


03/23/95 


94 OSP 0644 


Gray 


04/19/95 


94 OSP 1807 


Becton 


03/13/95 



03/20/95 



06/08/95 
06/08/95 



05/31/95 



04/04/95 



03/24/95 



94 OSP 1758 


Nesnow 


06/07/95 


94 OSP 1811 


West 


05/04/95 


95 OSP 0138 


West 


03/31/95 



03/16/95 



06/12/95 



05/24/95 



03/09/95 
03/01/95 



10:01 NCR 48 



94 OSP 1032*" 


Nesnow 


06/12/95 


94 OSP 1072* 8 


Nesnow 


06/12/95 


94 OSP 1074*" 


Nesnow 


06/12/95 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



617 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Wake County Department of Social Services 
Olivia L. Jordan v. Wake County/Department of Social Services 
Department of Labor 

Michael Robert Smith v. Department of Labor 94 OSP 0610 Nesnow 

Lee-Harnett Area Mental Health. Developmental Disabilities, and Substance Abuse Authority 



94 OSP 11 79 *» Nesnow 



06/09/95 



06/12/95 



Julie Dyer v. Lee-Harnett Area MH/DD/SA Authority 

Sorth Carolina State University 

David L. Bauer v. North Carolina Slate University 
Billy Ray Kelly v. NCSU Physical Plant 

Orange-Person-Chatham Mental Health 

Patricia A. Harris v. Orange-Person-Chatham Mental Health 

Department of Transportation 

Michael E- Kornegay v. Department of Transportation 
Robert F- Goins v. Department of Transportation 

University of North Carolina 

Beth Ann Miller v. UNC Student Health 

UVC Hospitals 

David Patrick Malone v. Univ. of NC Hospital at Chapel Hill 
Lillian C. Daniels v. UNC Hospital 95 OSP 0056 

Wake County 

Mark Morgan v. Wake County 

STATE TREASURER 



94 OSP 0750 



95 OSP 0044 
95 OSP 0130 



95 OSP 0162 



93 OSP 1700 

94 OSP 0281 



94 OSP 0800 



94 OSP 0771 
Morrison 



94 OSP 0937 



Gray 



Morrison 
West 



West 



Gray 
Chess 



Nesnow 



Becton 
05/11/95 



Nesnow 



03/20/95 



04/25/95 
03/22/95 



04/11/95 



03/24/95 
05/30/95 



05/25/95 



03/14/95 



04/28/95 



10:4 NCR 287 



John W. Parris v. Bd. of Trustees//NC Local Gov. Emp. Retirement Sys. 91 DST 1093 Nesnow 05/04/95 

Channie S. Chapman v. Bd/Trustees//NC Local Gov. Emp. Ret Sys. 94 DST 0443 Morrison 05/15/95 



618 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



N.C. Central University 

Peler A. Fore v. N.C. Central University 

Department of Commerce 

T. Sherwood Jernigan v. Depi. of Commerce. Savings Institution Div. 

Department of Correction 

Nancy Gilchnst v. Department of Correction 

Howard Gray Sadler v. Correction, Div. of Adult Probation/Parole 

Thomas Wayne Smathers v. Department of Correction 

George J. McClease, Jr. v. Department of Correction 

Ruth Kearney v. Department of Correction 

Office of the District Attorney 

Shannon Caudill v Office of the District Attorney for Judicial 
District 17-B, and Administrative Office of the Courts 

East Carolina University 

Lillic Mercer Atkinson v. ECU, Dept. of Comparative Medicine, et al. 
Lillie Mercer Atkinson v. ECU, Dept. of Comparative Medicine, et al. 

Department of Environment, Health, and Natural Resources 

Babette K McKemie v EHNR, Div. of Environmental Management 

FayetteviUe State University 

George Benstead v. FayetteviUe State University 

Forsyth Stokes Mental Heath Center 

Michael Howell v. Forsyth Stokes Mental Health Center 

Department of Human Resources 

April Benfield v. Department of Human Resources 
and 
Western Carolina Center 
Eugene Hightower, Jr. v. Department of Human Resources, EEO 
Rebecca Johnson v. Human Resource**, Special Care Cemer 

Cherry Hospital 
William H. Cooke v. DHR, Cherry Hospital 

Durham County Department of Social Senices 
Delores H. Jeffers v. Durham County Department of Social Services 

Gaston Counts Department of Social Services 
Bobbie J. Gilliam v. Gaston County Department of Social Services 

Iredell County Department of Social Senices 

Vernon E. Grosse v. Iredell County Department of Social Services 
Bonnie N. Bellamy v. Iredell County Department of Social Services 

Wake County Department of Healm 

Regina K. Crowder v. Wake County/Health Dept., Caroline E. Lee, Dir. 
Sahrina R. Crowder v. Wake County /Health Dept., Richard Stevens 
Thomasine D. Avery v. Wake County/Health Department 



93 OSP0189 



94 OSP 0775 



95 OSP 0188 



95 OSP 0038* 1 
95 OSP 0057*^ 



94 OSP 0358 



94 OSP 1597 



94 OSP 0499 



93 OSP 1547 



94 OSP 0939 



94 OSP 0770 



94 OSP 0282 
94 OSP 0739 



Nesnow 



West 



Nesnow 



Becton 
Becton 



Chess 



Nesnow 



Chess 



Gray 



Morrison 



West 



Becton 
Chess 



06/13/95 



05/25/95 



94 OSP 0121 


West 


03/09/95 


94 OSP 0332 


West 


05/15/95 


94 OSP 0590 


West 


03/23/95 


94 OSP 0644 


Gra> 


04/19/95 


94 OSP 1807 


Becton 


03/13/95 



03/20/95 



06/08/95 
06/08/95 



05/31/95 



04/04/95 



03/24/95 



94 OSP 1758 


Nesnow 


06/07/95 


94 OSP 1811 


West 


05/04/95 


95 OSP 0138 


West 


03/31/95 



03/16/95 



06/12/95 



05/24/95 



03/09/95 
03/01/95 



10:01 NCR 48 



94 OSP 1032*" 


Nesnow 


06/12/95 


94 OSP 1072* 8 


Nesnow 


06/12/95 


94 OSP 1074*" 


Nesnow 


06/12/95 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



617 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Wake County Department of Social Senices 

Olivia L. Jordan v. Wake County/Department of Social Services 

Department of Labor 

Michael Robert Smith v. Department of Labor 94 OSP 0610 

Lee-Harnett Area Mental Health, Developmental Disabilities, and Substance 

Julie Dyer v. Lee-Harnett Area MH/DD/SA Authority 

North Carolina State University 

David L. Bauer v. North Carolina State University 
Billy Ray Kelly v. NCSU Physical Plant 

Orange-Person-Chatham Mental Health 

Patricia A. Harris v. Orange-Person-Chatham Mental Health 

Department of Transportation 

Michael E. Komegay v. Department of Transportation 
Robert F. Goins v. Department of Transportation 

University of <\orth Carolina 

Beth Ann Miller v. UNC Student Health 

UNC Hospitals 

David Patrick Malone v. Univ. of NC Hospital at Chapel Hill 
Lillian C Daniels v. UNC Hospital 95 OSP 0056 

Wake County 

Mark Morgan v Wake County 

STATE TREASURER 



94 OSP 1179** Nesnow 



06/12/95 



Nesnow 
Abuse Authority 
94 OSP 0750 



95 OSP 0044 
95 OSP 0130 



95 OSP 0162 



93 OSP 1700 

94 OSP 0281 



94 OSP 0800 



94 OSP 0771 
Morrison 



94 OSP 0937 



06/09/95 



Gray 



Morrison 
West 



West 



Gray 
Chess 



Nesnow 



Becton 
05/11/95 



Nesnow 



03/20/95 



04/25/95 
03/22/95 



04/11/95 



03/24/95 
05/30/95 



05/25/95 



03/14/95 



04/28/95 



10:4 NCR 287 



John W. Pams v. Bd. of Trustees//NC Local Gov. Emp. Retirement Sys. 91 DST 1093 Nesnow 05/04/95 

Channie S. Chapman v. BdATrustees//NC Local Gov. Emp. Ret Sys. 94 DST 0443 Morrison 05/15/95 



618 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF BUNCOMBE 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

94 DOA 1565 



HOLLAND GROUP, INC., 
Petitioner, 



v. 



NORTH CAROLINA DEPARTMENT OF 
ADMINISTRATION, STATE 
CONSTRUCTION OFFICE, 
Respondent. 



RECOMMENDED DECISION 



STATEMENT OF THE CASE 

The above-captioned hearing was heard before Administrative Law Judge Dolores O. Nesnow, on April 6 and 7. 1995. 
in Asheville, North Carolina. 

APPEARANCES 

Petitioner' Holland Group, Inc. 

Reginald B. Holland, Jr. 
Pro se. 

Respondent: David Steinbock 

Assistant Attorney General 
N.C. Department of Justice 
Attorney for Respondent 

ISSUES 

1 Did Respondent err in assessing Petitioner liquidated damages in the amount of $15,200? 

2. Does the Respondent owe the Petitioner $20,816 in Extended Field Overhead? 

STATUTES AND RULES IN ISSUE 
N.C. Gen. Stat. 143-135 et seq. 

STIPULATION AGREEMENTS 
The previously noted issues of "Change Orders" and "Retainage" are not issues for purposes of this hearing. 

FINDINGS OF FACT 

1. In 1992, as part of the Governor's Correction Program, the Division of Youth Services of the North Carolina 
Department of Human Resources was mandated to construct six secure/non-secure youth homes across the state. 

2. An architect was retained to design and oversee the construction of the group homes. The architect was Steven 
Schuster, who operates his own company, Clearscapes, out of Raleigh. North Carolina. 

3. The group homes were to be six identical buildings to be used for the purpose of offering a residential setting to 
troubled youths, both in a secure and non-secure setting. 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



619 



CONTESTED CASE DECISIONS 



4. It was determined that it would be in the interest of the success of the projects to have local contractors working 
on each of the homes so that the community might develop an "ownership" interest in each of the homes. 

5. The Division of Youth Services (Owner) and the architect, Mr. Schuster, consulted concerning the terms which 
were to be included as part of the contracts. One of the terms was a time frame within which each of the homes could be built. 

6. Mr. Schuster determined that each of the homes could be built in a total of 135 days. 

7. Another term of the contract was liquidated damages. Liquidated damages are assessed against a contractor for 
each day beyond the contract completion time. In the instant case, the Petitioner could be assessed a two hundred dollar ($200.00) 
per day "liquidated damages" penalty. 

8. Petitioner was the successful bidder for the home to be built in Macon County. 

9. On the Macon County Home, the Petitioner was a single prime contractor, i.e. the one contractor in charge of 
the project. On the other homes there were multi-prime contractors, i.e. a number of contractors each responsible directly to the 
architect and owner for their own part of the project. 

10. At the end of the Macon County Project, the Petitioner had gone 85 days beyond the 135-day completion time. 

1 1. Petitioner was assessed a total of $15,200. 

12. Petitioner made no money on the Macon County Home. 

13. Mr. Schuster testified that liquidated damages are not a penalty but they are the amount of "out-of-pocket costs" 
caused to the owner by not having the project completed in a timely manner. 

14. After the six homes were built, the Petitioner reviewed the time expended in the construction of each of the six 
homes. The results were as follows: 

Macon County Home: 220 days 

Hertford County Home' 225 days 

Wayne County Home: 227 days 

Robeson County Home: 241 days 

Craven County Home: 246 days 

Chowan County Home: 265 days 

15. The average time in building these homes is 237 days. 

16. Petitioner was told all through his project that he was the slowest contractor of the six houses which were built. 
When he was able to gather information and put together a record, he learned that he had completed the project in the shortest 
amount of time. 

17. During construction projects, contractors often request of the architect what are known as "rain days." These 
are days during which the weather has prevented construction. The contractor requests that these days not be added on to the time 
taken to complete the project. 

18. Petitioner requested a number of "rain days," almost all of which the architect allowed. However, Petitioner in 
fact requested rain days only for those days which Mr. Schuster told him m advance would be allowed. 

19. After the project began. Petitioner made a schedule and realized that 135 days was not going to be enough time. 
He called Clearscapes, Mr. Schuster's company, and was told that they believed the 135 days to be attainable. 



620 NORTH CAROLINA REGISTER July 3, 1995 10:7 



CONTESTED CASE DECISIONS 



20. The Petitioner testified that early into the project he became more concerned that the weather was preventing 
construction and that he would be assessed liquidated damages. He spoke with Mr Schuster and articulated his concern. Mr. 
Schuster said, "Don't worry about liquidated damages. I will take care of them. Just keep the quality of the work high. " 

21. Petitioner testified that Mr. Schuster said this to him on several occasions. 

22. Mr. Schuster conceded that he had said this to Petitioner on at least one occasion and probably more. He testified 
that he does remember saying, "The important thing is to get the job done and keep the quality high. Don't worry about liquidated 
damages. The State is not in the business of punishing people." He testified, however, that at a meeting subsequent to that he made 
it clear to Mr. Holland and his subcontractors that they didn't have "all the time in the world." 

23. Mr. Schuster testified that he did not mean to indicate that he would eliminate the possibility of liquidated damages 
but only that he wanted the construction to continue with a high quality and that Petitioner should not be concerned with rain days 
which would more than likely be credited to him. 

24. Petitioner understood Mr. Schuster's assurance to be an indication that liquidated damages would not be strictly 
enforced as long as the Petitioner kept the quality high and continued to work at his best speed. 

25 At construction meetings with Petitioner's crew, Mr. Schuster said on a number of occasions that the job had to 

be done and that there was always the spectra of liquidated damages. 

26. Petitioner, however, understood those comments to be public comments for the purposes of encouraging the crews 
and the subcontractors to continue to work expeditiously. 

27. Petitioner testified that he did not tell his subcontractors about his private conversations with Mr. Schuster because 
he felt they should be urged to continue to work as quickly as possible. 

28. Petitioner believes he "upheld his end of the bargain" and the Respondent did not. 

29. Mr. Schuster testified that he agrees that 135 days was an "aggressive" estimate. He said. "There's no question 
about that." He testified, however that it was his opinion that the 135 days was "attainable." 

30. Robert L. Deaver. the owner of Ross-Markham. Inc., Construction Company uas the successful bidder for three 
of the youth homes. Mr. Deaver testified that during the construction period he enjoyed working with Mr. Schuster but when the 
construction was finished he was assessed a very high amount of liquidated damages which hurt his company financially. 

31. Mr. Deaver testified that 135 days was not enough time to complete the projects. 

32. Earlier. Mr. Schuster had told Mr Deaver that he agreed that 135 days was not enough time but that he had not 
had any input into the 135 days. Mr. Schuster told Mr. Deaver that the 135 days were set by David Flaherty, the then Secretary 
of the Department of Human Resources. 

33. Mr. Deaver was very concerned about liquidated damages when he realized that the projects were not going to 
be completed in the time allotted. 

34. Mr. Schuster told Mr. Deaver that he would not be charged liquidated damages according to the contract, but 
that he would be charged a lesser amount. 

35. At approximately the time the projects were complete, Mr. Schuster told Mr. Deaver that he would be charged 
about $5,000 per building in liquidated damages. Mr. Deaver responded that since the State owed him $20,000 for change orders 
which had never been paid, they could "call it even." Mr. Schuster responded negatively and said that Mr. Deaver would have to 
absorb the $20,000 for change order work and also pay the $15,000 in liquidated damages. 

36. Mr. Deaver returned to his office and considered this, after which he called Mr. Schuster and said it was 
financially impossible. Mr. Schuster said he would see what he could do. 

37. Mr. Schuster subsequently responded to Mr. Deaver that the State had said "No" and that Mr. Deaver would have 



10:7 NORTH CAROLINA REGISTER July 3, 1995 621 



CONTESTED CASE DECISIONS 



to absorb approximately "fifty to sixty thousand dollars." 

38. Mr. Deaver has done approximately 150 projects in his career and was assessed liquidated damages in four or 
five of them. 

39. Mr. Deaver testified that the "designer" of the project usually sets the correct amount of time for the completion 
of a project. He testified that contractors rely on the time set by the designer as being a reasonable estimate for the length of the 
project. 

40. Mr. Deaver did not make any money on the homes he built. 

41. Patrick Joyce is the Executive Vice President of L.A. Downey and Son General Contractors. Mr. Downey 
testified that his company built two of the youth homes in Chowan and Hertford Counties. 

42. Mr. Joyce testified that Mr. Schuster told him the 135 days was not Mr. Schuster's idea — that Mr. Schuster 
wanted a longer time Mr. Joyce also testified that Mr. Schuster said it was a very, very aggressive schedule. 

43. Mr. Joyce also testified that at the time the contracts were let for bids he believed that 135 days to completion 
was almost impossible. However, at that time, the weather was good. Mr. Joyce needed the work and believed that there was a 
possibility that he might just be able to do it. 

44. Mr. Joyce testified that the vaulted ceilings and the security screens which were placed into the house were very 
expensive and that he never recovered that money from the State. 

45. At the end of his project Mr. Joyce also received an assessment of liquidated damages. He attempted to negotiate 
those liquidated damages but testified that he was "disappointed" with those negotiations. 

46 Mr. Joyce also testified that his two projects were "multi-prime" projects and that one of the prime contractors 

had signed a settlement concerning liquidated damages. 

47. Mr. Joyce testified that in all the projects he did. he was assessed liquidated damages one time. That time was 
$5,000 from the federal government and the amount was negotiated out. 

48. Petitioner testified that, from a general contractors point of view, the quicker the job the more money the 
contractor makes. He also testified that he spent a lot of his own money to keep the project moving. 

49. Petitioner was told by the State to bill the State on the 23rd of the month and the State would pay him on the 10th 
of the following month. Petitioner testified that the State was late on a total of 64 days in paying his submitted bills. 

50. Petitioner's subcontractors included people he had worked with on projects before. Alvin Johnson was the 
masonry subcontractor, Jackie West did the plumbing. Clyde McCall was the electrician, and Carroll Moore did HVAC. 

51. Mr. Johnson testified that the "specs" called for six-inch masonry block and four-inch cast iron plumbing pipe. 
He demonstrated, and it is found as fact, that four-inch cast iron plumbing pipe does not fit into the openings on six-inch masonry 
block. In order to make those items work together Mr. Johnson had to cut through each masonry block which would be required 
at a pipe site and place the block around the pipe. 

52. Mr. Johnson testified that it is customary for an eight-inch or ten-inch block to be used where four-inch piping 
is being used. 

53. Mr. Johnson had to cut 13 to 27 blocks at each of five locations. Every three days he had to replace the diamond 
blade on his cutting tool, which blade was valued at $273.00. 

54. Mr. Schuster testified that his specs called for six-inch cinder block intentionally as an effort to save money and 
that he did not feel that the masons would have to do a great deal of work to accommodate the pipes. 

55. Mr. Johnson testified that the biggest problem at the Macon County home was the weather. It was winter and 
the Petitioner expected Mr. Johnson to work nine hour days. Mr. Johnson testified that he believes he did all he could to get his 

622 NORTH CAROLINA REGISTER July 3, 1995 10:7 



CONTESTED CASE DECISIONS 



work done on time. 

56. Mr. Johnson further testified that Petitioner called him "every night and told me to get up there" and that he 
"almost got aggravated" and didn't want to work on Petitioner's jobs any more. 

57. Mr. Johnson testified that Ronnie Norton was the masonry subcontractor before Mr. Johnson took over. Mr. 
Norton laid two comers and one wall, three to four courses high. At that point Mr. Norton quit. Mr. Johnson testified that Mr. 
Norton probably "figured out the first day what it took me four to five days to figure out." 

58. Mr. Johnson made no money on the Macon County Home Project. 

59. Jackie West testified that he did the fastest job he could. He testified that "we were walking over workers while 
we were there" and Petitioner was pushing everyone. Mr. West additionally testified that Petitioner was "calling all the time at 
night. I almost wanted to take the phone off the hook I used the 'shower excuse' so much I was ashamed." 

60. Mr. West also testified that there were some mistakes in the specs which he had to correct, including sinks which 
were placed back to back and a soil pipe which was designed to come out on the south side of the building while the sewer 
connections were on the north side of the building. 

61 Mr. McCall testified that he worked as quickly as was possible, that there were always other people on the site, 

and that once the roof was on "there was a lot of inside traffic' 

62. On one occasion, Mr. McCall saw 22 pickup trucks at the site and he had to park quite a way down the road. 
He arranged to have all of his people ride in one vehicle because the parking was so difficult at the construction site. 

63. Mr. Moore testified that he worked as quickly as he could and had an adequate crew for the job. 

64 Mr. Moore redesigned the HVAC for the whole building. The plans called for a "12-ton coolant" which was 

not enough for the building. Mr. Moore testified that the structure which had been designated as "residential" had been incorrectly 
designated and should have been designated commercial or industrial. If it had been designated as commercial, there would have 
been more time allotted for its construction 

65. Mr. Moore spent time trying to figure out ways to save the State money on the building. He did plans for the 

changes and he and the Petitioner faxed them to Raleigh. He spent a day or two doing the plans. Mr. Schooley did not ask for 
any money for this work and he provided the service for free so that job would be "done right." 

66 Lyman L. Bryant is an architect who was hired by Mr. Schuster to oversee the construction of the Holland Group 

Project. He testified that he was the "eyes and ears" of Mr. Schuster and that he was at the project site on numerous occasions. 
He testified that in the Petitioner's project the State '.... got a very good building." 

67. Ed Buckner of the State Construction Office was assigned the task of overseeing the project to see that construction 
laws were being met. He testified that the house was of "very good quality work." 

68. He further testified that he went to the site on two occasions when the "slab" was ready for pouring and it hadn't 
been poured. It was his opinion, he testified, that it was not too cold to pour. 

69. Petitioner testified that the North Carolina Construction Manual which was given to him prohibited pouring 
concrete when the weather was below a certain temperature. 

70. Mr. Buckner testified that on one or two occasions he went by the site and there was nobody working. 

71 . Petitioner testified that there were times when work on a project has to stop while something "sets," the crew has 
to wait for an interim inspection, or when one crew has to wait for another crew to come on the site to finish a phase of the project. 

72. Mr. Buckner testified that in his opinion the problem with the Petitioner's site was that the Petitioner did not get 
an aggressive enough start at the beginning of the project. 



10:7 NORTH CAROLINA REGISTER July 3, 1995 623 



CONTESTED CASE DECISIONS 



73. Mr. Buckner also testified that he would not have planned a project which used the eight-inch pipe and the six-inch 
masonry block combination. 

74. When the project was nearing completion, Mr. Schuster wrote to the owner, telling them that the project had gone 
over the dates predicted and that since his architectural firm had had to incur additional administrative expenses to keep watch on 
the job, he would be charging the owner for that additional time. That letter also notified the owner that Mr. Schuster would be 
seeking liquidated damages from the contractor. 

75. Mr. Schuster testified that he was aware that the owner did not have any additional money and that it was probable 
that the only way they would be able to pay his bill for extra time was to collect the liquidated damages. 

76. He billed the State $32,976 for additional administrative services. He testified that he "negotiated" this amount 
with the State. He was in fact paid "in the high 20s or low 30s." 

77. Petitioner testified that he had learned that the liquidated damages were going to be paid to Mr. Schuster for his 
expenses. He determined that if Mr. Schuster could be paid for the work he did beyond 135 days then he, too, should be paid for 
that time since Mr. Schuster was the designer and as the designer he knew it was impossible to complete in 135 days, which 
information Mr. Schuster did not share with Petitioner. 

78 Mr. Schuster testified that it is his job to be "a fair and impartial mediator between the owner and the contractor 

when it comes to liquidated damages. " 

79. Mr. Schuster testified that it was and is his opinion that the schedule was attainable without overtime or double 
shifts. He testified that a contractor must do whatever he has to do to complete the project on time. 

80. Speros Fleggas, Director of the Office of State Construction, DOA. testified that it is within his power to grant 
Extended Field Overheads if he found a legitimate reason to do so. 

81 . Mr. Fleggas also testified that these projects were bid twice. The first time they were let for bids the design was 
too expensive and all the bids came in too high. 

82. It is found as fact that the architect set the completion time at 135 days. 

83. It is found as fact that Mr. Schuster knew that 135 days was an almost impossible completion time. 

84. It is found as fact that Mr. Schuster intentionally misled the Petitioner to believe that liquidated damages would 
not be assessed if the quality was high. 

Based upon the above Findings of Fact, the undersigned makes the following Conclusions of Law: 

CONCLUSIONS OF LAW 

ISSUE 1: Did Respondent err in assessing Petitioner liquidated damages in the amount of $15,200? 

1. In Graham and Son, Inc., v. Board of Education , 25 NC App. 163, 212 S.E. 2d 542 (1975) the North Carolina 

Court of Appeals discussed the concept of liquidated damages where a contractor had failed to complete a project on time. The 
Court found that where the delay was caused by the architect, the contractor could not be charged liquidated damages. In that case 
the architect failed to pay the contractor, failed to provide necessary facilities at the job site, and was otherwise uncooperative with 
the contractor. 

In the case of Barrett, Robert & Woods, Inc.. v. ARMI 59 NC App. 134, 296 S.E. 2d. 10 (1982) the Court of Appeals 
found that there was severe unpredictable weather delays and also numerous instances of interference in the performance of the 
contract by the architect. The Court determined that the contractor should not be assessed liquidated damages. 

In the case at hand, the architect did not do any of the overt acts described in Graham or Barrett . However, in the instant 
case, the architect did contribute to the lateness of the project by putting a completion time in the contract which he knew was at 
the very least "very aggressive." 



624 NORTH CAROLINA REGISTER July 3, 1995 10:7 



CONTESTED CASE DECISIONS 



Additionally, Mr. Schuster reassured the Petitioner by stating to him on more than one occasion that he should not be 
concerned with liquidated damages. This assurance appears to have been made to encourage the Petitioner not to cut comers and 
to keep the quality of the building high. In fact, that was accomplished. The quality of the building was uncontestedly high. 
However, when the project was over, the architect's assurance to the contractor appears to have been false. 

Mr. Schuster testified that although he did tell the contractor not to worry about liquidated damages, he did not mean for 
the contractor to assume that liquidated damages would not be assessed. This testimony is disingenuous. 

It is not known at this time how many days would have been the appropriate number of days for the projects at issue. 
However, based upon the analysis of the six homes which were built, the average time of completion was 237 days. The Petitioner's 
completion was attained in 220 days. Thus, using the only information available at this time, it is concluded that 237 days was, 
for purposes of this analysis, a reasonable time within which to complete the project. 

2. It is concluded that the 135 day time limit was knowingly and improperly included as a term of the contract and 
that Petitioner may not be held liable for the time he went beyond the 135 days. 

3. It is concluded that the Petitioner, therefore, did not go beyond a reasonable time to complete the project. 

4. It is further concluded that the Respondent erred in assessing liquidated damages against the Petitioner. 
ISSUE 2: Does the Respondent owe the Petitioner $20,816 in Extended Field Overhead? 

5. The Petitioner has requested payment for the time he was required to stay on the job beyond the 135 days. His 
assertion is that the architect inappropriately and knowingly estimated 135 days, causing the Petitioner to be unable to complete the 
project according to that time. The Petitioner asserts that since the architect billed the owner for his time on the project beyond the 
135 days, the Petitioner so too should be able to bill for that time. 

The architect knew that the owner did not have money to pay his bill and that the only way his bill would be paid would 
be by the owner allowing the architect to pursue liquidated damages. While the evidence indicates that liquidated damages are a 
common contract clause, they are most often not assessed The architect obligated the owner to agree to seek liquidated damages 
in order to pay his own bills. 

Petitioner requests $20,816 for the 85 days he went beyond the 135 day time limit, which amount calculates out to 
approximately $245.00 per day. 

In Barrett , supra, the Court also determined that where the contractor had charged the cost of doing business beyond the 
time limit of the original contract, those costs should be allowed to the contractor. 

In the Barrett case, the Court based that finding on invoices, canceled checks and time records submitted by the contractor 
as well as testimony on behalf of the contractor. In the instant case, the undersigned had not reviewed records in a depth similar 
to those reviewed in the Barrett case. 

6. It is concluded that, in the limited circumstances of this case where an architect has knowingly misrepresented 
the time of completion of the project, has knowingly misled the contractor on the issue of the assessment of liquidated damages, 
and was in a singular position to gain from the assessment of liquidated damages, the Petitioner should recover Extended Field 
Overhead. 

7. It is further concluded that the Respondent should be provided with detailed records of expenses incurred and 
should have the opportunity to review an itemized bill. 

Based upon the above Conclusions of Law, the undersigned makes the following recommendations: 

RECOMMENDATIONS 

1. That the Respondent reverse its decision to assess $15,200 in liquidated damages against the Petitioner. 

2. That the Respondent allow the Petitioner the Extended Field Overhead in a true and accurate amount to be 



10:7 NORTH CAROLINA REGISTER July 3, 1995 625 



CONTESTED CASE DECISIONS 



determined after review of the Petitioner's records. 



ORDER 



It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative Hearings, P.O. 
Drawer 27447, Raleigh, N.C. 27611-7447, in accordance with North Carolina General Statute 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an opportunity to file exceptions 
to this recommended decision and to present written arguments to those in the agency who will make the final decision. G.S. 150B- 
36(a). 

The agency is required by G.S. 150B-36(b) to serve a copy of the final decision on all parties and to furnish a copy to the 
parties' attorney of record and to the Office of Administrative Hearings. 

The agency that will make the final decision in this contested case is the North Carolina Department of Administration. 

This the 1st day of June, 1995. 



Dolores O. Nesnow 
Administrative Law Judge 



626 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF WAKE 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

95 DOJ 0101 



ALEXANDER DOUGLAS JONES 
Petitioner, 

v. 

NORTH CAROLINA CRIMINAL JUSTICE 
EDUCATION AND TRAINING 
STANDARDS COMMISSION 
Respondent. 



PROPOSAL FOR DECISION 



This matter was heard before Fred G. Morrison Jr., Senior Administrative Law Judge, on May 22, 1995, in Raleigh, North 
Carolina. Following the hearing the parties stated that they would not be submitting proposed findings of fact and conclusions of 
law. 

APPEARANCES 

John C. Hunter, Attorney at Law, appeared for the Petitioner and Robin P. Pendergraft, Special Deputy Attorney General, 
appeared for the Respondent. 

ISSUE 

Whether the Respondent should suspend Petitioner's probation/parole officer certification. 

STATUTES AND RULES AT ISSUE 

G.S. U3-294(m) 
12 NCAC 9A .0103(5)(a) 

12 NCAC 9A .0103(7) 
12 NCAC 9A .0103(21)(b) 

12 NCAC 9A .0203 

12 NCAC 9A .0204(b)(3)(A) 

12 NCAC 9 A .0205(b)(1) 

OPINION OF THE ADMINISTRATIVE LAW JUDGE 

Based on stipulations, official notice, and competent evidence admitted at the hearing, the Administrative Law Judge makes 
the following: 

STIPULATED FACTS 

1. Both parties are properly before this Administrative Law Judge, that jurisdiction and venue are proper, that both parties 
received notice of hearing, and that Petitioner received the Deferral of Suspension of his Probation/Parole Officer Certification letter 
mailed by Respondent on November 23, 1994. 

2. The North Carolina Criminal Justice Education and Training Standards Commission (Respondent) has the authority granted 
under Chapter 17C of the North Carolina General Statutes and Title 12 of the North Carolina Administrative Code, Chapter 9, to 
certify criminal justice officers and to deny, revoke or suspend such certification. 

3. Petitioner applied with Respondent for certification as a Probation/Parole Officer with the North Carolina Department of 
Correction in December 1993. 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



627 



CONTESTED CASE DECISIONS 



4. Petitioner was issued a probationary certification (PRD 241358154) by Respondent effective January 5, 1994, to work with 
the North Carolina Department of Correction. 

5. Petitioner successfully completed the Basic Probation/Parole Officer Course at the North Carolina Justice Academy on 
February 18, 1994. 

6. Petitioner was issued a general certification (GND 241358154) by Respondent effective November 15, 1994, to work with 
the North Carolina Department of Correction. 

7. On January 8, 1994, Petitioner received two citations issued by Wildlife Officer Wes Barger who charged Petitioner with 
the following four duck hunting offenses: 

(1) Taking migratory waterfowl with possession of toxic lead shot (94 CR 06614); 

(2) Taking migratory waterfowl with shotgun capable of holding more than 3 shells (94 CR 06614); 

(3) Taking migratory waterfowl during closed season (94 CR 06617); and 

(4) Taking migratory waterfowl without purchasing a state migratory waterfowl stamp (94 CR 06617). 

8. On April 29, 1994, Petitioner pled guilty to and was found guilty of taking migratory waterfowl during closed season and 
taking migratory waterfowl without purchasing a state migratory waterfowl stamp (94 CR 06617) and was ordered to pay the costs 
of court upon a prayer for judgment continued. The other two charges (94 CR 06614) were dismissed. 

9. Petitioner promptly notified his supervisors of the dispositions of the above-mentioned cases, and subsequently thereafter 
notified Respondent by letter. 

10. Respondent defines "Class B misdemeanor" as: 

(A)n act committed or omitted in violation of any common law, criminal statute, or criminal traffic code of this 
state, or any other jurisdiction, either civil or military, for which the maximum punishment allowable for the 
designated offense under the laws, statutes, or ordinances of the jurisdiction in which the offense occurred 
includes imprisonment for a term of more than six months but not more than two years. 

11. The wildlife offense of taking migratory waterfowl during the closed season is a criminal offense in violation of N.C.G.S. 
1 13-294(m). It carries a possible maximum punishment of two (2) years imprisonment, and thus meets the definition of "Class B 
misdemeanor. " 

ADJUDICATED FACTS 

1 . Petitioner received the two citations set out above prior to his attending the Basic Probation/Parole Officer Course at the 
North Carolina Justice Academy. He was not aware that the offenses could jeopardize his certification. 

2. Petitioner has not received any other citations since becoming a Probation/Parole Officer. 

3. Petitioner's supervisor and coworkers consider him to be a promising, competent and humane Probation/Parole Officer. 

4. An active suspension of Petitioner's certification would result in Petitioner losing his employment with the North Carolina 
Department of Correction, Division of Adult Probation and Parole. According to his Chief Probation/Parole Officer, this would 
cause a hardship on their unit. 

5. Petitioner is remorseful for his actions of January 8, 1994, and understands that any such actions reflect poorly on the 
criminal justice community. 

6. Petitioner's reputation and standing in the community for honesty and trustworthiness are high. 

Based on the foregoing Stipulated and Adjudicated Facts, the Administrative Law Judge makes the following: 

CONCLUSIONS OF LAW 
1. Both parties are properly before this Administrative Law Judge, in that jurisdiction is proper, that both parties received 

628 NORTH CAROLINA REGISTER July 3, 1995 10:7 



CONTESTED CASE DECISIONS 



notice of hearing, and that Petitioner received notice of Deferral of his Probation/Parole Officer Certification by Respondent. 

2. The Standards Committee based its recommendations upon 12 NCAC 9A .0204(b)(3)(A) which states that the Commission 
may suspend or revoke certification when an officer has committed or been convicted of a Class B misdemeanor. Petitioner's guilty 
pleas on April 29, 1994, constituted a violation of this rule. 

3. The North Carolina Criminal Justice Education and Training Standards Commission has the authority pursuant to rule 12 
NCAC 9A .0205(b)(1) to reduce or suspend the period of sanction, or substitute a period of probation in lieu of suspension of 
certification following an administrative hearing, if the cause of the sanction is the commission or conviction of a Class B 
Misdemeanor. This rule applies to Petitioner's conviction. 

4. 12 NCAC 9A .0203 provides that Respondent may sanction individuals who knowingly and wilfully violate its rules. Since 
Petitioner's violation occurred prior to his attending the Basic Probation/Parole Officer Course at the Justice Academy, he is less 
culpable, as there was no evidence of wilfulness on his part. 

PROPOSAL FOR DECISION 

Based upon the foregoing, it is hereby proposed that Petitioner's certification not be suspended, as Petitioner has been 
appropriately warned and reprimanded by virtue of this proceeding. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative Hearings, P.O. 
Drawer 27447, Raleigh, North Carolina 2761 1-7447, in accordance with North Carolina General Statute 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an opportunity to file exceptions 
and proposed findings of fact and to present oral and written arguments to the agency. G.S. 150B-40(e). 

A copy of the final agency decision or order shall be served upon each party personally or by certified mail addressed to 
the party at the latest address given by the party to the agency and a copy shall be furnished to his attorney of record. G.S. 150B-- 
42(a). It is requested that the agency furnish a copy to the Office of Administrative Hearings. 

The agency that will make the final decision in this contested case is the North Carolina Criminal Justice Education and 
Training Standards Commission. 

This the 13th day of June, 1995. 



Fred G. Morrison, Jr. 

Senior Administrative Law Judge 



10:7 NORTH CAROLINA REGISTER July 3, 1995 629 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



lhe North Carolina Administrative Code (NCAC) has four major subdhisions of rules. Two of these, titles and 
chapters, are mandatory. The major subdivision of the NCAC is the title. Each major department in the North 
Carolina executive branch of government has been assigned a title number. Titles are further broken down into 
chapters which shall be numerical in order. The other two, subchapters and sections are optional subdivisions 
to be used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Auctioneers 


4 


4 


Commerce 


Barber Examiners 


6 


5 


Correction 


Certified Public Accountant Examiners 


8 


6 


Council of State 


Chiropractic Examiners 


10 


7 


Cultural Resources 


General Contractors 


12 


8 


Elections 


Cosmetic Art Examiners 


14 


9 


Governor 


Dental Examiners 


16 


10 


Human Resources 


Dietetic s/Nutrition 


17 


11 


Insurance 


Electrical Contractors 


18 


12 


Justice 


Electrolysis 


19 


13 


Labor 


Foresters 


20 


14A 


Crime Control & Public Safety 


Geologists 


21 


15A 


Environment, Health, and Natural 


Hearing Aid Dealers and Fitters 


22 




Resources 


Landscape Architects 


26 


16 


Public Education 


Landscape Contractors 


28 


17 


Revenue 


Marital and Family Therapy 


31 


18 


Secretary of State 


Medical Examiners 


32 


19A 


Transportation 


Midwifery Jomt Committee 


33 


20 


Treasurer 


Mortuary Science 


34 


*21 


Occupational Licensing Boards 


Nursing 


36 


22 


Administrative Procedures 


Nursing Home Administrators 


37 


23 


Community Colleges 


Occupational Therapists 


38 


24 


Independent Agencies 


Opticians 


40 


25 


State Personnel 


Optometry 


42 


26 


Administrative Hearings 


Osteopathic Examination & Reg. (Repealed) 


44 


27 


NC State Bar 


Pharmacy 


46 






Physical Therapy Examiners 


48 






Plumbing, Heating & Fire Sprinkler Contractors 


50 






Podiatry Examiners 


52 






Professional Counselors 


53 






Practicing Psychologists 


54 






Professional Engineers & Land Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certification 


63 






Speech & Language Pathologists & Audiologists 


64 






Therapeutic Recreation Certification 


65 






Veterinary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



630 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



ACUPUNCTURE LICENSING BOARD 



21 NCAC 01 


0101 


10:02 NCR 


150 


07/01/95 




.0201 


10:07 NCR 


585 


10/01/95 




.0401 - .0402 


10:02 NCR 


150 


07/01/95 




.0501 


10:07 NCR 


585 


10/01/95 




.0701 


10:07 NCR 


585 


10/01/95 


AGRICULTURE 










2 NCAC 34 


.0904 


10:04 NCR 


228 


08/01/95 




.0904 


10:07 NCR 


430 


11/01/95 


CERTIFIED PUBLIC ACCOUNTANT EXAMINERS 




21 NCAC 08F 


.0105 


10:04 NCR 


255 


08/01/95 




.0113 


10:04 NCR 


255 


08/01/95 


08G 


.0401 


10:04 NCR 


255 


08/01/95 


08J 


.0005 


10:04 NCR 


255 


08/01/95 




.0008 


10:04 NCR 


255 


08/01/95 


08M 


.0102 


10:04 NCR 


255 


08/01/95 




.0104 


10:04 NCR 


255 


08/01/95 




.0306 


10:04 NCR 


255 


08/01/95 




.0401 


10:04 NCR 


255 


08/01/95 


08N 


0203 


10:04 NCR 


255 


08/01/95 




.0302 


10:04 NCR 


255 


08/01/95 




.0307 


10:04 NCR 


255 


08/01/95 


CHIROPRACTIC EXAMINERS 








21 NCAC 10 


.0203 


10:04 NCR 


261 


08/01/95 


COMMUNITY COLLEGES 








23 NCAC 02C 


.0108 


10:03 NCR 


208 


09/01/95 




.0210 


10:07 NCR 


000 


01/01/96 




.0211 


10:03 NCR 


208 


09/01/95 




.0301 


10:07 NCR 


58" 


01/01/96 




0306 


10:03 NCR 


208 


09/01/95 


02E 


.0403 


10:07 NCR 


587 


01/01/96 


COMMERCE 










4 NCAC 06C 


.0203 


10:05 NCR 


300 


09/01/95 


CORRECTION 










5 NCAC 05 


.0001 


10:01 NCR 


12 


07/01/95 



N/A 



Renoticed in 10:7 



07/01/95 



CULTURAL RESOURCES 

7 NCAC 02F .0002 



15A NCAC 02B 



02D 



.0101 
.0104 
.0202 
.0211 
.0301 
.0304 
.0304 
.0316 
.0520 
.0531 
.0902 
.0909 
.0952 
.1402 



10:01 NCR 


12 


07/01/95 


TURAL RESOURCES 




10:01 NCR 


13 




10:01 NCR 


13 




10:01 NCR 


13 




10:01 NCR 


13 




10:01 NCR 


13 




10:04 NCR 


246 


01/01/96 


10:05 NCR 


30 i 


11/01/95 


10:04 NCR 


246 


01/01/96 


10:01 NCR 


13 


07/01/95 


10:01 NCR 


13 


07/01/95 


10:01 NCR 


13 


07/01/95 


10:01 NCR 


13 


07/01/95 


10:01 NCR 


13 


07/01/95 


10:01 NCR 


13 


07/01/95 



Correction to Notice 
Correction to Notice 
Correction to Notice 
Correction to Notice 
Correction to Notice 



07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



631 



CUMULATIVE INDEX 



Agency/Rule Citation 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 





.1406 




10:01 NCR 


13 


07/01/95 


X 




.1409 




10:01 NCR 


13 


07/01/95 


X 




.1701 - 


.1702 


10:01 NCR 


13 


07/01/95 


X 




.1801 - 


.1803 


10:01 NCR 


13 


07/01/95 


X 


NPDES Permit 






10:02 NCR 


56 






04A 


.0001 




10:07 NCR 


579 


10/01/95 






.0005 




10:07 NCR 


579 


10/01/95 




04B 


.0016 




10:07 NCR 


S7Q 


10/01/95 






.0020 




10:07 NCR 


579 


10/01/95 






.0028 




10:02 NCR 


149 


07/01/95 






.0029- 


.0030 


10:07 NCR 


579 


10/01/95 




04C 


.0007- 


.0008 


10:07 NCR 


579 


10/01/95 






.0010 




10:07 NCR 


579 


10/01/95 




04D 


.0002 




10:07 NCR 


57Q 


10/01/95 






.0003 




10:07 NCR 


579 


10/01/95 




07H 


.0208 




10:03 NCR 


197 


12/01/95 






.2201 - 


.2202 


10:03 NCR 


204 


12/01/95 






.2203 




10:03 NCR 


204 


12/01/95 


X 




.2204- 


.2205 


10:03 NCR 


204 


12/01/95 




10B 


.0115 




10:06 NCR 


338 


10/01/95 






.0202 - 


.0203 


10:01 NCR 


26 


07/01/95 






.0202 




10:04 NCR 


249 


08/01/95 






.0214 




10:01 NCR 


26 


07/01/95 




IOC 


.0404 




10:06 NCR 


338 


12/01/95 






.0407 




10:06 NCR 


338 


12/01/95 




10D 


.0002- 


.0003 


10:01 NCR 


26 


07/01/95 






.0003 




10:04 NCR 


250 


08/01/95 






.0003 




10:06 NCR 


338 


09.01/95 




10F 


.0313 




10:06 NCR 


338 


10/01/95 






.0317 




10:01 NCR 


26 


07/01/95 




Wildlife Proclamation/Striped 


3a ss 


10:02 NCR 


57 


04/10/95 










10:03 NCR 


195 


04/15/95 




L3B 


.0101 




10:06 NCR 


350 


10/01/95 






.0103 




10:06 NCR 


350 


10/01/95 






.0503 




10:06 NCR 


350 


10/01/95 






.0802- 


0829 


10:06 NCR 


350 


10/01/95 






.1627 




10:06 NCR 


350 


10/01/95 




16A 


.1001 




10:07 NCR 


582 


01/01/96 






.1002- 


.1006 


10:07 NCR 


582 


01/01/96 




18A 


.2508 




10:06 NCR 


350 


01/01/96 






.2511 




10:06 NCR 


350 


01/01/96 






.2516- 


.2519 


10:06 NCR 


350 


01/01/96 






.2521 - 


.2524 


10:06 NCR 


350 


01/01/96 






.2526 




10:06 NCR 


350 


01/01/96 






.2528- 


.2535 


10:06 NCR 


350 


01/01/96 






.2537 




10:06 NCR 


350 


01/01/96 






.2540- 


.2543 


10:06 NCR 


350 


01/01/96 




19A 


.0401 




10:06 NCR 


350 


10/01/95 






.0406 




10:06 NCR 


350 


10/01/95 






.0502 




10:06 NCR 


350 


10/01/95 




19C 


.0206 




10:05 NCR 


305 


10/01/95 


X 


19H 


.0702 




10:07 NCR 


582 


10/01/95 




24A 


.0404 




10:06 NCR 


350 


10/01/95 


X 


FINAL DECISION LETTERS 










Voting Rights Act 






10:01 NCR 
10:03 NCR 
10:05 NCR 


02 

194 
298 






GOVERNOR'S EXECUTIVE ORDERS 








Number 72 






10:01 NCR 


01 






Number 73 






10:02 NCR 


54 






Number 74 






10:02 NCR 


54 







07/01/95 
07/01/95 

07/01/95 
07/01/95 



03/06/95 
03/15/95 
03/27/95 



632 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



Number 75 






10:03 NCR 


191 




Number 76 






10:03 NCR 


191 




Number 77 






10:05 NCR 


297 




Number 78 






10:06 NCR 


336 




Number 79 






10:07 NCR 


427 




Number 80 






10:07 NCR 


427 




HUMAN RESOURCES 










10 NCAC 03H 


.0108 - 


0109 


10:02 NCR 


58 


09/01/95 




.0206- 


.0220 


10:02 NCR 


SS 


09/01/95 




.0306- 


.0318 


10:02 NCR 


58 


09/01/95 




.0407- 


0409 


10:02 NCR 


58 


09/01/95 




.0505 - 


0507 


10:02 NCR 


58 


09/01/95 




0510 - 


.0517 


10:02 NCR 


58 


09/01/95 




.0605 - 


.0609 


10:02 NCR 


58 


09/01/95 




.0705 - 


.0712 


10:02 NCR 


58 


09/01/95 




.0810- 


.0812 


10:02 NCR 


58 


09/01/95 




.0903 - 


.0911 


10:02 NCR 


58 


09/01/95 




.1003 - 


.1008 


10:02 NCR 


58 


09/01/95 




.1105 - 


.1109 


10:02 NCR 


58 


09/01/95 




.1130- 


.1136 


10:02 NCR 


>s 


09/01/95 




.1150- 


.1163 


10:02 NCR 


58 


09/01/95 




.1204- 


1208 


10:02 NCR 


58 


09/01/95 




.1210 




10:02 NCR 


58 


09/01/95 




.1306- 


.1308 


10:02 NCR 


58 


09/01/95 




.1405- 


.1406 


10:02 NCR 


58 


09/01/95 




.1408- 


.1410 


10:02 NCR 


SS 


09/01/95 




.1501 - 


.1503 


10:02 NCR 


58 


09/01/95 




.1612 - 


.1613 


10:02 NCR 


^8 


09/01/95 




.1703 - 


.1704 


10:02 NCR 


58 


09/01/95 




.1804- 


.1807 


10:02 NCR 


58 


09/01/95 




.2001 




10:02 NCR 


58 


09/01/95 




.2101 - 


.2110 


10:02 NCR 


58 


09/01/95 




.2201 - 


2212 


10:02 NCR 


58 


09/01/95 




.2301 - 


.2308 


10:02 NCR 


58 


09/01/95 




.2401 - 


.2402 


10:02 NCR 


58 


09/01/95 




.2501 - 


.2506 


10:02 NCR 


58 


09/01/95 




.2601 - 


.2607 


10:02 NCR 


58 


09/01/95 




.2701 




10:02 NCR 


58 


09/01/95 




.2801 - 


.2802 


10:02 NCR 


58 


09/01/95 




.2901 - 


.2902 


10:02 NCR 


58 


09/01/95 




.3001 - 


.3005 


10:02 NCR 


58 


09/01/95 




.3011 - 


.3016 


10:02 NCR 


58 


09/01/95 




.3021 - 


.3032 


10:02 NCR 


58 


09/01/95 




.3101 - 


.3104 


10:02 NCR 


58 


09/01/95 




.3201 - 


.3202 


10:02 NCR 


58 


09/01/95 




.3301 - 


.3302 


10:02 NCR 


58 


09/01/95 




.3401 - 


.3404 


10:02 NCR 


58 


09/01/95 


10 NCAC 14B 


.0501 - 


.0503 


10:07 NCR 


430 


05/01/96 




.0505 - 


.0509 


10:07 NCR 


430 


05/01/96 


14K 


.0101 - 


.0103 


10:07 NCR 


430 


05/01/96 




.0201 - 


.0219 


10:07 NCR 


430 


05/01/96 




.0301 - 


.0310 


10:07 NCR 


430 


05/01/96 




.0312- 


.0315 


10:07 NCR 


430 


05/01/96 




.0317 - 


.0324 


10:07 NCR 


430 


05/01/96 




.0326 - 


.0329 


10:07 NCR 


430 


05/01/96 




.0333 - 


.0348 


10:07 NCR 


430 


05/01/96 




.0350- 


.0365 


10:07 NCR 


430 


05/01/96 




.0401 - 


.0408 


10:07 NCR 


430 


05/01/96 



03/30/95 
04/03/95 
05/02/95 
05/23/95 
06/07/95 
06/13/95 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



633 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



14L .0101 - 


.0106 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0203 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0308 


10:07 NCR 


430 


05/01/96 


.0310 




10:07 NCR 


430 


05/01/96 


.0401 - 


.0407 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0606 


10:07 NCR 


430 


05/01/96 


.0609 




10:07 NCR 


430 


05/01/96 


.0611 - 


.0615 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0709 


10:07 NCR 


430 


05/01/96 


.0711 - 


.0712 


10:07 NCR 


430 


05/01/96 


4M .0101 - 


.0113 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0511 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0602 


10:07 NCR 


430 


05/01/96 


.0604 




10:07 NCR 


430 


05/01/96 


.0606 




10:07 NCR 


430 


05/01/96 


.0608 - 


.0612 


10:07 NCR 


430 


05/01/96 


.0614- 


.0615 


10:07 NCR 


430 


05/01/96 


.0617- 


.0621 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0716 


10:07 NCR 


430 


05/01/96 


4N .0101 - 


.0107 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0207 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0307 


10:07 NCR 


430 


05/01/96 


.0401 - 


.0406 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0507 


10:07 NCR 


430 


05/01/96 


.0701 




10:07 NCR 


430 


05/01/96 


.0703 - 


.0705 


10:07 NCR 


430 


05/01/96 


.0801 - 


.0811 


10:07 NCR 


430 


05/01/96 


40 .0301 - 


.0314 


10:07 NCR 


430 


05/01/96 


.0401 - 


.0409 


10:07 NCR 


430 


05/01/96 


.0411 - 


.0416 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0505 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0609 


10:07 NCR 


430 


05/01/96 


.0611 - 


.0615 


10:07 NCR 


430 


05/01/96 


.0617- 


.0618 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0710 


10:07 NCR 


430 


05/01/96 


4V .0101 - 


.0104 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0208 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0304 


10:07 NCR 


430 


05/01/96 


.0401 - 


.0405 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0505 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0604 


10:07 NCR 


4 HI 


05/01/96 


.0701 - 


.0712 


10:07 NCR 


430 


05/01/96 


.0801 - 


.0805 


10:07 NCR 


430 


05/01/96 


.1101 - 


.1103 


10:07 NCR 


430 


05/01/96 


.1201 - 


.1203 


10:07 NCR 


430 


05/01/96 


.1301 - 


.1303 


10:07 NCR 


430 


05/01/96 


.1401 - 


.1403 


10:07 NCR 


430 


05/01/96 


.1501 - 


.1504 


10:07 NCR 


430 


05/01/96 


.2101 - 


.2104 


10:07 NCR 


430 


05/01/96 


.2201 - 


.2204 


10:07 NCR 


430 


05/01/96 


.2301 - 


.2306 


10:07 NCR 


430 


05/01/96 


.2401 - 


.2404 


10:07 NCR 


430 


05/01/96 


.2501 - 


.2505 


10:07 NCR 


430 


05/01/96 


.3101 - 


.3103 


10:07 NCR 


430 


05/01/96 


.3201 - 


.3203 


10:07 NCR 


430 


05/01/96 


.3301 - 


.3303 


10:07 NCR 


430 


05/01/96 


.3401 - 


.3403 


10:07 NCR 


430 


05/01/96 


.3501 - 


.3503 


10:07 NCR 


430 


05/01/96 


.3601 - 


.3604 


10:07 NCR 


430 


05/01/96 


.3701 - 


.3703 


10:07 NCR 


430 


05/01/96 


.3801 - 


.3803 


10:07 NCR 


430 


05/01/96 


.3901 - 


.3903 


10:07 NCR 


430 


05/01/96 


.4001 - 


.4003 


10:07 NCR 


430 


05/01/96 



634 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CUMULATIVE INDEX 



Agency /Rule Citation 



Proposed in 
Register 



Proposed 

Effective 
Dale 



fiscal Note 



State Local 



Effective 
Date 



Other Information 



.4101 - .4104 


10:07 NCR 


430 


05/01/96 


.5001 - .5002 


10:07 NCR 


430 


05/01/96 


.5101 - .5104 


10:07 NCR 


430 


05/01/96 


.5201 - .5204 


10:07 NCR 


430 


05/01/96 


.5301 - .5303 


10:07 NCR 


430 


05/01/96 


.5401 - .5403 


10:07 NCR 


430 


05/01/96 


.5501 - .5503 


10:07 NCR 


430 


05/01/96 


.5601 - .5603 


10:07 NCR 


430 


05/01/96 


.5701 - .5703 


10:07 NCR 


430 


05/01/96 


.5801 - .5804 


10:07 NCR 


430 


05/01/96 


.5901 - .5903 


10:07 NCR 


430 


05/01/96 


.6001 - .6003 


10:07 NCR 


430 


05/01/96 


.6101 - .6103 


10:07 NCR 


430 


05/01/96 


.6201 - .6202 


10:07 NCR 


430 


05/01/96 


.6301 - .6303 


10:07 NCR 


430 


05/01/96 


.6401 - .6403 


10:07 NCR 


430 


05/01/96 


.6501 - .6503 


10:07 NCR 


430 


05/01/96 


.6601 - .6603 


10:07 NCR 


430 


05/01/96 


.6701 - .6702 


10:07 NCR 


430 


05/01/96 


.6801 - .6802 


10:07 NCR 


430 


05/01/96 


.6901 - .6903 


10:07 NCR 


430 


05/01/96 


18A .0124 - .0128 


10:07 NCR 


430 


05/01/96 


.0130 


10:07 NCR 


430 


05/01/96 


.0132 - .0133 


10:07 NCR 


430 


05/01/96 


.0135 - .0136 


10:07 NCR 


430 


05/01/96 


181 .0114 -.0120 


10:07 NCR 


430 


05/01/96 


18J .01 10 -.01 19 


10:07 NCR 


430 


05/01/96 


.0212 - .0213 


10:07 NCR 


430 


05/01/96 


.0304- .0311 


10:07 NCR 


430 


05/01/96 


.0601 - .0604 


10.07 NCR 


430 


05/01/96 


.0701 - .0715 


10.07 NCR 


430 


05/01/96 


.0801 - .0805 


10:07 NCR 


430 


05/01/96 


.0803 


10:02 NCR 


118 


07/01/95 


18K .0109 -.01 16 


10O7 NCR 


430 


05/01/96 


18L .0107 - .0108 


10:07 NCR 


430 


05/01/96 


.0223 - .0224 


10:07 NCR 


430 


05/01/96 


.0331 - .0336 


10:07 NCR 


430 


05/01/96 


.0338 - .0339 


10:07 NCR 


430 


05/01/96 


.0428 - .0434 


10:07 NCR 


430 


05/01/96 


.0504 


10O7 NCR 


430 


05/01/96 


.0511 


10:07 NCR 


430 


05/01/96 


.0513 


10:07 NCR 


430 


05/01/% 


.0701 - .0705 


10O7NCR 


430 


05/01/96 


.0707 


10:07 NCR 


430 


05/01/96 


.0801 


10:07 NCR 


430 


05/01/96 


.0803 - .0809 


10O7 NCR 


430 


05/01/96 


.0901 - .0904 


10O7 NCR 


430 


05/01/96 


.1001 - .1006 


10:07 NCR 


430 


05/01/96 


.1101 - .1103 


10O7NCR 


430 


05/01/96 


.1105- .1107 


10:07 NCR 


430 


05/01/96 


.1201 


10:07 NCR 


430 


05/01/96 


.1203 - .1206 


10O7 NCR 


430 


05/01/96 


.1301 - .1309 


10:07 NCR 


430 


05/01/96 


.1401 - .1403 


10:07 NCR 


430 


05/01/96 


.1501 - .1525 


10:07 NCR 


430 


05/01/96 


18M .0107 -.01 10 


10:07 NCR 


430 


05/01/96 


.0206 - .0213 


10:07 NCR 


430 


05/01/96 


.0304 - .0307 


10:07 NCR 


430 


05/01/96 


.0406- .0409 


10:07 NCR 


430 


05/01/96 


.0505 - .0506 


10:07 NCR 


430 


05/01/96 


.0607 - .0608 


10:07 NCR 


430 


05/01/96 


.0701 


10:07 NCR 


430 


05/01/96 


.0703 - .0706 


10:07 NCR 


430 


05/01/96 



07/01/95 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



635 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 


Fiscal Note 


Effective 


Other Information 


Effectire 
Date 


State 


Local 


Date 





.0708- 


.0714 


10:07 NCR 


430 


05/01/96 






.0801 - 


.0803 


10:07 NCR 


430 


05/01/96 






.0817 - 


.0819 


10:07 NCR 


430 


05/01/96 






.0824- 


.0838 


10:07 NCR 


430 


05/01/96 






.0901 - 


.0908 


10:07 NCR 


430 


05/01/96 






.1001 - 


.1009 


10:07 NCR 


430 


05/01/96 






.1101 - 


.1106 


10:07 NCR 


430 


05/01/96 






.1203- 


.1204 


10:07 NCR 


430 


05/01/% 






.1302- 


.1305 


10:07 NCR 


430 


05/01/96 






.1401 - 


.1403 


10:07 NCR 


430 


05/01/% 






.1405- 


.1410 


10:07 NCR 


430 


05/01/% 




18N 


.0105 - 


.0110 


10:07 NCR 


430 


05/01/% 






.0204- 


.0212 


10:07 NCR 


430 


05/01/% 






.0305- 


.0306 


10:07 NCR 


430 


05/01/% 




18P 


.0901 - 


.0903 


10.O7 NCR 


430 


05/01/% 






.1001 - 


.1004 


10:07 NCR 


430 


05/01/% 




18Q 


.0284 




10:07 NCR 


430 


05/01/% 






.0286- 


.0287 


10:07 NCR 


430 


05/01/% 






.0520- 


.0521 


10:07 NCR 


430 


05/01/% 






0538 - 


.0552 


10:07 NCR 


430 


05/01/% 




26B 


.0124 




10:02 NCR 


118 


07/01/95 


X 


26H 


.0302 




10:04 NCR 


228 


08/01/95 


X 




.0304- 


.0305 


10:04 NCR 


228 


08/01/95 


X 




.0308 - 


.0309 


10:04 NCR 


228 


08/01/95 


X 


26H 


.0213 




10:02 NCR 


118 


07/01/95 




41F 


.0706 




10.03 NCR 


196 


08/01/95 






.0812 




10:03 NCR 


196 


08/01/95 




INSURANCE 














1 1 NCAC 06A 


.0812 




10:04 NCR 


246 


08/01/95 




JUSTICE 














12 NCAC 04E 


.0104 




10:07 NCR 


573 


10/01/95 




07D 


.0201 




10:07 NCR 


575 


10/01/95 






.0301 




10:07 NCR 


575 


10/01/95 






.0401 




10:07 NCR 


575 


10/01/95 






.0701 




10:07 NCR 


575 


10/01/95 






.0706 




10:07 NCR 


575 


10/01/95 






.0801 




10:07 NCR 


575 


10/01/95 






.0806 




10:07 NCR 


575 


10/01/95 






.0902 




10:07 NCR 


575 


10/01/95 






.0904 




10:07 NCR 


575 


10/01/95 




09A 


.0204 




10:02 NCR 


122 


08/01/95 




09B 


.0113 




10:02 NCR 


122 


08/01/95 






.0201 - 


.0202 


10:02 NCR 


122 


08/01/95 






.0205- 


.0206 


10:02 NCR 


122 


08/01/95 






.0210 




10:02 NCR 


122 


08/01/95 






.0212- 


.0214 


10:02 NCR 


122 


08/01/95 






.0226- 


.0228 


10:02 NCR 


122 


08/01/95 






.0232- 


.0233 


10:02 NCR 


122 


08/01/95 




09C 


.0401 




10:02 NCR 


122 


08/01/95 






.0601 




10:02 NCR 


122 


08/01/95 




09D 


.0102 




10:02 NCR 


122 


08/01/95 






.0104- 


.0106 


10:02 NCR 


122 


08/01/95 




11 


.0210 




10:05 NCR 


301 


09/01/95 




LABOR 














13 NCAC 






10:01 NCR 
10:01 NCR 
10:02 NCR 
10.O2 NCR 
10:02 NCR 
10:02 NCR 


10 
12 
149 
149 
149 
149 


01/01/% 
01/01/% 
10/01/95 
01/01/% 
01/01/% 
02/01/% 





07/01/95 



07/01/95 



Notice on Subject 
Notice on Subject 
Notice on Subject 
Notice on Subject 
Notice on Subject 
Notice on Subject 



Matter 
Matter 
Matter 
Matter 
Matter 
Matter 



636 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



CUMULATIVE INDEX 





Agency /Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 







10:03 NCR 


196 


01/01/96 






10K33 NCR 


197 


01/01/96 


12 


.0101 


10:02 NCR 


142 


08/01/95 




.0303 - .0315 


10:02 NCR 


142 


08/01/95 




.0501 - .0502 


10:02 NCR 


142 


08/01/95 




.0803 - .0808 


10:02 NCR 


142 


08/01/95 


LIST OF RULES CODIFIED 












10:02 NCR 


167 








10:04 NCR 


272 




MEDICAL EXAMINERS 








21 NCAC 32H 


.0102 


10:02 NCR 


151 


07/01/96 




.0201 


10:02 NCR 


151 


07/01/96 




.0203 


10:02 NCR 


151 


07/01/96 




.0408 


10:02 NCR 


151 


07/01/96 




.0506 


10:02 NCR 


151 


07/01/96 




.0601 


10:02 NCR 


151 


07/01/95 




.0602 


10:02 NCR 


151 


07/01/96 




.0801 


10:02 NCR 


151 


07/01/96 




.1001 


10:02 NCR 


151 


07/01/96 


321 


.0003 - .0004 


10:02 NCR 


151 


07/01/95 


NURSING HOME ADMINISTRATORS 






21 NCAC 37 


.0101 


10:04 NCR 


262 


08/01/95 




.0302 


10KB NCR 


206 


08/01/95 




.0404 


10:03 NCR 


206 


08/01/95 




.0502 


10KB NCR 


206 


08/01/95 




.0603 


10KB NCR 


206 


08/01/95 




.0904 


10:04 NCR 


262 


08/01/95 




.0912 


10:03 NCR 


206 


08/01/95 




.0914 


10:03 NCR 


206 


08/01/95 



Notice on Subject Matter 
Notice on Subject Matter 



Rules Filed 03/95 
Rules Filed 04/95 



PLUMBING, HEATING & FIRE SPRINKLER CONTRACTORS 

21 NCAC 50 .0402 lOKM NCR 39 09/01/95 

.0505 10-01 NCR 39 09/01/95 



PROFESSIONAL COUNSELORS 








21 NCAC 53 


.0204- 


.0211 


10:01 NCR 


40 


07/01/95 




.0301 




10:01 NCR 


40 


07/01/95 




.0305 - 


.0309 


10:01 NCR 


40 


07/01/95 




.0310 




10:01 NCR 


40 


07/01/95 




.0403 - 


.0405 


10K31 NCR 


40 


07/01/95 




.0601 - 


.0604 


10:01 NCR 


40 


07/01/95 


PUBLIC EDUCATION 










16 NCAC 06D 


.0106 




10:07 NCR 


584 


11/01/95 


REAL ESTATE COMMISSION 








21 NCAC 58A 


.0110 




10:02 NCR 


157 


07/01/95 




.0403 




10:04 NCR 


263 


08/01/95 




.0503 




10:04 NCR 


263 


08/01/95 




.0504- 


.0506 


10.02 NCR 


157 


07/01/95 




.0505 




10:04 NCR 


263 


08/01/95 




.1703 




10:02 NCR 


157 


07/01/95 




.1707 - 


.1708 


10K)2 NCR 


157 


07/01/95 




.1710- 


.1711 


10.02 NCR 


157 


07/01/95 


58E 


.0103 




10:02 NCR 


157 


07/01/95 




.0203 - 


.0204 


10:02 NCR 


157 


07/01/95 




.0303 - 


.0305 


10:02 NCR 


157 


07/01/95 




.0406- 


.0407 


10:02 NCR 


157 


07/01/95 




.0506 




10:02 NCR 


157 


07/01/95 



07/01/95 
07/01/95 
07/01/95 

07/01/95 



07/01/95 



07/01/95 

07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 



10:7 



NORTH CAROLINA REGISTER 



July 3, 1995 



637 



CUMULATIVE INDEX 



Agency/Rule Citation 



Proposed in 
Register 



Proposed 

Effective 
Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 





.0515 




10-02 NCR 


157 


07/01/95 


REFRIGERATION EXAMINERS 








21 NCAC 60 


.0102 




10:04 NCR 


264 


08/01/95 




.0204 




10:04 NCR 


264 


08/01/95 




.0314 




10:04 NCR 


264 


08/01/95 




.1102 




10:04 NCR 


264 


08/01/95 


REVENUE 












Tax Review Board 






10:01 NCR 


03 




Tax Review Board 






10:07 NCR 


428 




SECRETARY OF STATE 










18 NCAC 06 


.1205- 


.1206 


10:05 NCR 


306 


09/01/95 




.1208 




10:05 NCR 


306 


09/01/95 




.1302- 


.1305 


10:05 NCR 


306 


09/01/95 




.1313 




10:05 NCR 


306 


09/01/95 


STATE PERSONNEL 










25 NCAC 01C 


.0207 




10:04 NCR 


264 


08/01/95 




.0402- 


.0408 


10:04 NCR 


264 


08/01/95 


01D 


.0201 




10:04 NCR 


264 


08/01/95 




.0205 




10:04 NCR 


264 


08/01/95 




.0207 




10:04 NCR 


264 


08/01/95 




.0211 




10:04 NCR 


264 


08/01/95 




.0509 




10:07 NCR 


588 


10/01/95 




.0808 




10:04 NCR 


264 


08/01/95 




.1001 




10:04 NCR 


264 


08/01/95 




.1009 




10:04 NCR 


264 


08/01/95 




.1201 




10:04 NCR 


264 


08/01/95 




.1204 




10:04 NCR 


264 


08/01/95 




.1401 




10:04 NCR 


264 


08/01/95 




.1801 - 


.1802 


10:04 NCR 


264 


08/01/95 




.2001 




10:04 NCR 


264 


08/01/95 


01E 


.0804 




10:04 NCR 


264 


08/01/95 




.1402- 


.1409 


10:07 NCR 


588 


10/01/95 




.1410- 


.1411 


10:07 NCR 


588 


10/01/95 


on 


.0604- 


.0606 


10:07 NCR 


588 


10/01/95 




.0608 




10:07 NCR 


588 


10/01/95 




.0610- 


.0612 


10:07 NCR 


588 


10/01/95 




.0613 - 


.0615 


10:07 NCR 


588 


10/01/95 


OIK 


.0312 




10:04 NCR 


264 


08/01/95 


TRANSPORTATION 










19A NCAC 02D 


.0801 




10:04 NCR 


254 


09/01/95 



07/01/95 



638 



NORTH CAROLINA REGISTER 



July 3, 1995 



10:7 



BARCLAYS OFFICIAL NORTH CAROLINA ADMINISTRATIVE CODE - 1995 



DESCRIPTION 



CODE 



ONE-TIME 

PURCHASE 

PRICE 



ANNUAL 

SUBSCRIPTION 

PRICE 



Title 1 - Dept. of Administration 

Division of Purchase & Contract 
Federal Block Grant Funds 



Full Tide 



Title 2 - Oept. of Agriculture - Full Title 

Food & Drug Protection Division 
Structural Pest Control Committee 
Agricultural Markets 
Plant Industry 
Animal Industry 

Title 3 - Dept. of State Auditor - Full Title 

Title 4 - Dept. of Commerce - Full Title 

Alcoholic Beverage Control Commisston 

Banking Commission 

Credit Union Division 

Savings & Loan Division 

Industrial Commission/Workers Compensation 

Savings Institutions Division 



Title 5 - Dept. of Corrections 

Division of Pnsons 



Full Title 



Title 6 - Council of State - Full Title 

Title 7 - Dept. of Cultural Resources - Full Title 

Title 8 - State Board of Elections - Full Title 



201 00 00 

201 10 05 

201 10 33 

202 00 00 

202 15 09 
202 1 5 34 
202 15 43 
202 1 5 48 

202 15 52 

203 00 00 

204 00 00 

204 1 5 02 

204 15 03 
204 1 5 06 
204 1 5 09 
204 15 10 

204 15 16 

205 00 00 

205 15 02 

206 00 00 

207 00 00 

208 00 00 



$63.00 

$21.00 
$17.50 

$98.00 

$28 00 
$21.00 
$21.00 
$21.00 
$21.00 

$7.00 



$87.50 


$12.00 


$24.50 


$14.00 


$14.00 


$14.00 


$24.50 


$56.00 


$24.50 


$21.00 


$21.00 



$7.00 



$90.00 

$30.00 
$25.00 

$140.00 

$40.00 
$30.00 
$30.00 
$30.00 
$30.00 

$10.00 

$125.00 

$40.00 
$35.00 
$20.00 
$20.00 
$20.00 
$35.00 

$80.00 

$35.00 

$30.00 
$30.00 
$10.00 



Title 9 - Offices of the Governor & Lt Governor - Full Title 



209 00 00 



$31.50 



$45.00 



Title 10 - Dept. of Human Resources - Full Title 

Licensing of Health Facilities 

Detention Facilities 

Mental Health & Rehabilitation Services 

Social Services 

Children Services/Day Care 

Services for the Aging 

Services for the Blind 

Services for the Deaf & Hard of Heanng 

Employment Opportunities 

Title 1 1 - De